RETAIL ACCOUNTS:
| Standard commission: |
$30 per trade up to 1000 shares, plus $0.03 per share thereafter. Stocks trading at less than $5 per share will incur an overriding minimum of $30 and a maximum of 5% of principal. |
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| Standard commission: | $30 per trade up to 1000 shares, plus $0.03 per share thereafter. |
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| Load Funds: | No transaction fee* |
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| No Load, Low Load Funds: | $30 |
| Exchange Between Funds: | $30 |
| Eligible Funds: | No transaction fee** |
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| Investment Minimums: | $3,000 ($500 for retirement accounts) |
| Additional Systematic Investments: | $100 minimum |
* Per fund prospectus (sales charges and break points). Contact Alpha Finance U.S. if your trade is projected to cross a break point or if you want to provide a letter of intent to take advantage of anticipated break point sales charges.
** Funds redeemed or exchanged within 6 months of the purchase date or deposit date in the program will incur a transaction fee of $50. All systematic withdrawals held less than six calendar months will incur a $5 fee.
*** Mutual funds offered by prospectus only. Fund shares can be purchased or redeemed directly from the fund without paying transaction fees.
| $60 per ticket or $5 per bond per ticket, whichever is greater. |
| Margin Extensions: | $15 |
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| Returned Checks: | $20 per event |
| ACH Returned Checks: | $25 per event |
| Resource Checking Returned Checks: | $20 per event |
| Resource Checking Stop Payment: | $10 per event |
| Retail Customer Confirmation Charge: | No Charge |
| Reorganization Activities: | |
| Voluntary: | $25 per event |
| Mandatory: |
In Account $10 per event Physical $25 per event |
| Bond Redemptions, Puts & Calls: |
In Account $8 per item Physical (w/in 30 days of redemp.) $25 per item |
| Inactive Account Custody Fee: | $40 per inactive account, per year |
| Transfers (Register & Ship): |
$15 per transfer GNMA Transfers $40 per transfer |
| Legal Transfers: | $25 per transfer |
| DK Items: | No Charge |
| Foreign Receive and Delivery Fees: | |
| Euroclear: | $50 per item |
| All other foreign securities: | $75 per item |
| Customer Name Safekeeping: | $5 per account, per position, per month |
| Foreign Securities Safekeeping: | $10 per account, per position, per quarter |
| Wired Funds: | $25 per outgoing wire transfer |
| Mutual Funds and SRS Exchanges: | No charge |
| Fixed Income Certificate Costs: | As incurred |
| Fractional Share Equity Dividend Reinvestment: | No charge |
| Annual Maintenance Fee | Termination Fee | |
|---|---|---|
| Traditional IRA | $35 | $75 |
| Roth IRA, Education IRA | $35 | $75 |
| Real Time Quotes: | $0.02 per quote. First 100 real time quotes are free. |
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| S&P Snapshot Reports: | $0.50 per month. |
| S&P Marketscope® @Home: |
$0.50 per month. Included in this service are Market Action, STARS, Investment Ideas and more. |
| Negotiable |
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