| Transaction Type (*) |
AM |
Non-AM |
| Mutual Fund Supermarket Minimum Fees |
|
|
| No Transaction Fee Fund |
$0 |
$0 |
| Transaction Fee Fund |
$10 |
$35 |
| Load Fund (NAV) |
$10 |
$35 |
| Load Fund |
N/A |
$0 |
| |
|
|
| Stock Transactions (* - Broker Assisted) |
|
|
| Exchange Listed (<5000sh) |
$10 |
|
| Exchange Listed (>5000sh) |
$10 + $0.0125/sh |
|
| Non-Exchange Listed |
$10 |
|
| |
|
|
| Transaction size |
N/A |
Minimum $32 |
| $0 - $2,499 |
|
$30 + 1.70% principal |
| $2,500 - $6,249 |
|
$56 + 0.66% principal |
| $6,250 - $19,999 |
|
$76 + 0.34% principal |
| $20,000 - $49,999 |
|
$100 + 0.22% principal |
| $50,000 - $499,999 |
|
$155 + 0.11% principal |
| $500,000+ |
|
$255 + 0.09% principal |
| |
|
|
| Online Rate (Non-provided) |
|
$32 or $0.02/sh, whichever is greater |
| |
|
|
| Options (*) |
Max: $50 |
Min: $50 |
| Up to $1 premium |
$10 + $1.00/ctr |
$23 + $1.00/ctr |
| $1 - $2 premium |
$10 + $1.25/ctr |
$23 + $1.25/ctr |
| Greater than $2 premium |
$10 + $1.50/ctr |
$23 + $1.50/ctr |
| |
|
|
| Fixed Income Securities (*) |
|
|
| US Treasury Securities (including zero-coupon and inflation indexed) |
|
|
| New issues purchased at auction |
$15 |
$5 per $1000 face; Min $50 |
| Existing issues traded on secondary mkt |
$15 |
$5 per $1000 face; Min $50 |
| |
|
|
| Corporate Bonds |
|
|
| Exchange Listed |
$15 |
$5 per $1000 face; Min $50 |
| Unlisted (OTC) |
$15 |
$5 per $1000 face; Min $50 |
| |
|
|
| Municipal and US Govt Agency Bonds |
$15 |
$5 per $1000 face; Min $50 |
| |
|
|
| Mortgage-backed securities |
$15 |
$5 per $1000 face; Min $50 |
| |
|
|
| Certificates of Deposit (CDs) |
|
|
| New Issue - Under 1 year |
$0, fee paid by issuing bank |
$0, fee paid by issuing bank |
| New Issue - Under 2 years |
same |
same |
| New Issue - 2 years plus |
same |
same |
| Secondary issues |
$15 |
$47 |
| |
|
|
| (*) Note: Individual transactions do not reflect the additional $3 posting/service fee allocated from NFS |
|
|
| |
|
|
| Account Maintenance Fees |
Per SSI Schedule |
Per SSI Schedule |