| Fee Schedule Effective January 1, 2024* | APEX | VIKING |
| ADR Creation/Cancellation | $35 plus pass thru fee from ADR Sponsor, third parties | $35 plus pass thru fee from ADR Sponsor, third parties |
| DK Items | $20.00 per item | $20.00 per item |
| DK Items on DVP Trades | $25 per item plus interest (FFR+5%) | $25 per item plus interest (FFR+5%) |
| Domestic Voluntary Corp Actions/Reorganization | $50 per cusip per account | $50 per cusip per account |
| DRS Transaction | $75 per security | $75 per security |
| DTC Free Deliveries | $2 per security | $2 per security |
| DWAC | $75 per event | $75 per cusip |
| DWAC/DRS Reject | $125 per security | $125 per security |
| Electronic delivery of confirms/statement/tax doc | no charge | no charge |
| Electronic to physical certificate conversion | $900 per security | $900 per security |
| Escheatment Processing | $75.00 per account | $75.00 per account |
| Foreign Security Free Deliveries/Receives | $50 per movement | $50 per movement |
| In-Bound ACATSs | no charge | no charge |
| Account Transfer | $75 per ACAT | $5 DTC fee per Cusip |
| In-coming Wire Fees – Domestic | no charge | no charge |
| In-coming Wire Fees – International (SWIFT payments) | $12 | $12 |
| International Voluntary Corp Action/Reorganization | $100 per cusip per account | $100 per cusip per account |
| Involuntary Reorgs | waived | waived |
| Lost Certificate Replacement | 3% of certificate value ($250.00 minimum) | 3% of certificate value ($250.00 minimum) |
| Low Priced Securities | $0.0002/shr with 5% notional trade value max. | $0.0002/shr with 5% notional trade value max. |
| Margin Extensions | $25 per event | $25 per event |
| Margin Sell out Fee | $25 per ticket | $25 per ticket |
| Margin Rates** | < $25,000 – FFR+700 bps | < $25,000 – FFR+700 bps |
| $25,001 – $100,000 – FFR+600 bps | $25,001 – $100,000 – FFR+600 bps | |
| $100,001 – $250,000 – FFR+500 bps | $100,001 – $250,000 – FFR+500 bps | |
| $250,001 – $1 million – FFR+400 bps | $250,001 – $1 million – FFR+400 bps | |
| $1 million – $5 million – FFR+300 bps | $1 million – $5 million – FFR+300 bps | |
| $5 million and above – FFR+200 bps | $5 million and above – FFR+200 bps | |
| Non-transferable stock held | $10 per month per stock | $10 per month per stock |
| NSCC Illiquidity Fee | $250 per trade plus 15% interest/annum on NSCC charge | $250 per trade plus 15% interest/annum on NSCC charge |
| Option Exercise/Assignment | $5 per symbol per account | $5 per symbol per account |
| Out-going Wire Fees – Domestic | $20 per wire | $25 per wire |
| Out-going Wire Fees – International (SWIFT payments) | $30 per wire | $30 per wire |
| Overnight mail | as incurred pass thru | as incurred pass thru |
| Paper check Draft (USD) | $5 per check | N/A |
| Stop payments on Issued Checks | $30 per check | N/A |
| Check Copies | $15 each | N/A |
| Returned Checks/ACH Wires Recalls including Amendments | $30 per transaction | $30 per transaction |
| ACH Notice of Correction | $5 per notice | $5 per notice |
| Mailed Confirmations | $2 per confirm | $2 per confirm |
| Mailed Statements | $5 per statement | $5 per statement |
| Paper Prospectus Mailing | $2.50 per mailing | $2.50 per mailing |
| TOD Account Transfer Fee | $200 per transfer | $200 per transfer |
| Physical security deposits | not permitted / $500 if exception made | not permitted / $500 if exception made |
| Postage for mailed documents | $2 per daily confirm | $5 per item |
| Reg 144 Sales | fees will vary. Need to confirm in advance | fees will vary. Need to confirm in advance |
| Reorg Physical Processing Fee | $125 plus transfer agent fees | $125 plus transfer agent fees |
| Reorg Wire (UDS) | $20 per item | $20 per item |
| Reorg Wire (International) | $30 per item | $30 per item |
| Restricted Transfers | $465 per security | $465 per security |
| Retirement Accounts | $30 annual maintenance – $60 termination | N/A |
| Returned Mail | $2 per item | $2 per item |
| Safe Keeping – certificates | $5 per month per account per cusip | $5 per month per account per cusip |
| Short Buy-in Fee | $25 per ticket | $25 per ticket |
| Standard Legal Transfers | $150 per security | $150 per security |
| Stock Borrow Fee | Fee set by market – pass thru as incurred | Fee set by market – pass thru as incurred |
| Trade Corrections | $10 per item | $10 per item |
| FX Transactions | $25.00 per trade | $25.00 per trade |
| *ALL FEES SUBJECT TO CHANGE WITHOUT NOTICE* |
