| Transaction Type |
Fee Charge |
| 401k Annual Maintenance (per account) |
$250.00 |
| 990-T Return, Preparation, and Filing |
$150.00 |
| ACATS - Internal |
$75.00 |
| ACATS - Outgoing Non-Retirement |
$75.00 |
| ACATS - Outgoing Partial |
$75.00 |
| ACATS - Outgoing Retirement |
$75.00 |
| ACH Notice of Change/Correction |
$5.00 |
| ADR Cancellation / Creation |
$200 per transaction plus agent cable fees |
| Alternative Investment Cancel Correction |
$10.00 |
| Alternative Investment Fee |
$30.00 |
| Alternative Investment Subscription Fees |
$250.00 |
| Alternative Investment Trade |
$50.00 |
| Alternative Investment-Receive/Deliver (delinking/link) |
$30.00 |
| Blue Sheet Research Requests (per request) |
$25.00 |
| Broker Requested statement copies |
$5.00 |
| Cashless ESOP |
$300.00 |
| Check Copies |
$15 |
| Customer Verification - Domestic (per inquiry) |
$1.00 |
| Customer Verification - International (per inquiry) |
$2.00 |
| Data Management Research Requests (Hourly, 2 hour minimum) |
$150.00 |
| Death Put |
$100.00 |
| Dividend Check (per item) |
$5.00 |
| DK Interest Rate (Domestic) |
EFF + 500 BPS |
| DK Item Fee (per item) |
$20.00 |
| DTC Delivery (per security) |
$25.00 |
| DWAC (per event) |
$100.00 |
| DWAC / DRS reject |
$125.00 |
| Employee Stock Option Plan |
$100.00 |
| Escheatment Paper Letter Notice (per envelope) |
$2.00 |
| Escheatment Processing (per account) |
$75.00 |
| Fail Financing (Foreign) |
20% |
| Foreign Free Receives/Delivers |
$35.00 |
| Foreign Security Transfer Fee |
$50.00 |
| Historical Statements/Confirms |
$150.00 |
| Inaccurate or Missing Trade Files |
$500.00 |
| Incoming Wire Transfers (Domestic) |
$8.00 |
| Incoming Wire Transfers (Foreign) |
$14.00 |
| Limited Partnerships / Private Placements - safekeeping (per month) |
$25.00 |
| Limited Partnerships / Private Placements [3] |
$250.00 |
| NYSE Extensions (per item) |
$25.00 |
| Manual Account Closure Fee |
$5.00 |
| Margin Sell out fee (per ticket) |
$25.00 |
| Non Transferable Stocks (per month, per security) |
$10.00 |
| NSCC illiquidity charge |
$250.00 |
| Outgoing Wire Transfers (Domestic) |
$25.00 |
| Outgoing Wire Transfers (Foreign) |
$45.00 |
| Overdraft/Use of Apex Funds/Day Loans |
10% |
| Overnight Mail - Domestic (per request) |
$50.00 |
| Overnight Mail - International/Canada (per request) |
$100.00 |
| Paper Check Draft/regular mail - domestic |
$5.00 |
| Paper Check Draft/regular mail - international |
$10.00 |
| Paper Confirm Fee (Retail Paper Only) (per confirm) |
$2.00 |
| Paper Prospectus Fee (Domestic) |
$2.50 |
| Paper Prospectus Fee (Foreign) |
$8.50 |
| Paper Prospectus Fee Per Line (Domestic) |
$2.50 |
| Paper Prospectus Fee Per Line (Foreign) |
$8.50 |
| Paper Statement Fee (Retail Paper Only) (per statement) |
$5.00 |
| Paper Tax Statement Fee (Retail Paper Only) (per statement) |
$5.00 |
| Physical cert request from electronic shares |
$900.00 |
| Physical trade settlement fee |
$300.00 |
| Physicals Deposit Domestic |
$300.00 |
| Physicals Deposit Foreign |
$350.00 |
| Physicals Foreign Accommodation Transfer |
$350.00 |
| Prepayment - ($20.00 if amount is less than $10,000. If amount is over $10,000, 0.2% of unsettled amount) |
$20.00 if amount is less than $10,000. If amount is over $10,000, 0.2% of unsettled amount |
| Proxy Voting (Foreign): ICSD - All Other Custody Local Settlement Zones |
$250.00 |
| Proxy Voting (Foreign): ICSD - Euroclear and ClearStream |
$125.00 |
| Reorg Physical Processing Fee |
$125 plus transfer agent fees |
| Reorg Wire Fee (domestic) |
$25.00 |
| Reorg Wire Fee (international) |
$50.00 |
| Reorganization Activity - domestic voluntary/Post actionable reorgs - per CUSIP, per account |
$50.00 |
| Reorganization Activity - international voluntary/Post actionable reorgs - per CUSIP, per account |
$100.00 |
| Retirement Plan Services Annual Maintenance (per account) |
$20.00 |
| Retirement Plan Services Termination Fee (per event) |
$60.00 |
| Return Mail (per piece) |
$2.00 |
| Returned ACH (per return) |
$30.00 |
| Returned Checks/Wires and Recalls (including amendment repairs) |
$30.00 |
| S3 Execution Portal Access Terminal |
$500.00 |
| Safekeeping - Lost Certificate Replacement 3% of cert value 250.00 min. |
3% of cert value (250 min) |
| Safekeeping - Monthly (per account, per CUSIP) |
$5.00 |
| Safekeeping - Withdrawals (per withdrawal) |
$60.00 |
| Short Forced Buy In fee (per ticket) |
$25.00 |
| Split Settlement (Euroclear/DTCC) |
$75.00 |
| Statement Inserts (per acct, per month) |
$0.25 |
| Statement or Confirm Logo Revision/Client Changes |
$500.00 |
| Stop Payments on Apex Issued Checks |
$30.00 |
| Tax Form 5498 |
$5.00 |
| Third Party Distribution Notification |
$2.00 |
| Transfers - Accommodation (DRS) (per security) |
$115.00 |
| Transfers - Accommodation T & S (per security) |
$235.00 |
| Transfers - Legal (per security) |
$150.00 |
| Transfers - Restricted (per security) |
$465.00 |
| Transfers - Rush T & S Premium (per security) |
$350.00 |
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