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Standard Schedule
Commerce Brokerage Services, Inc.
(Effective Date 01/01/09)
Note: Commissions and fees subject to change without notice.
| Dollar Amount of Transaction |
Commission Rate |
| $0 - 2,500 |
$29.50 + 1.7% of principal |
| $2,501 - 6,000 |
$55.50 + .66% of principal |
| $6,001 - 22,000 |
$75.50 + .34% of principal |
| $22,001 - 50,000 |
$99.50 + .22% of principal |
| $50,001 - 500,000 |
$154.50 + .11% of principal |
| $500,001 + |
$254.50 + .09% of principal |
Minimum commission: 4¢ per share
Maximum commission: 54¢ on first 100 shares, 55¢ per share thereafter
All transactions subject to a minimum charge of $39.00**
**Minimum charge of $39.00 per transaction or 4¢ per share, whichever is greater. All orders executed on the same stock, on the same side, in the same day, shall be calculated as one order.
Large Block Transactions: For orders of 10,000 shares or more or on orders of $500,000 or over, contact your Commerce Brokerage representative for special handling. |
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| Commission: 4% of the principal amount |
| All trades are subject to $39.00 minimum |
| All orders executed on the same stock on the same side in the same day shall be calculated as one order |
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| Dollar Amount of Transaction |
Commission Rate |
| $0 - 2,999 |
$40 + 1.1% of dollar amount |
| $3,000 - 9,999 |
$40 + .8% of dollar amount |
| $10,000 - and over |
$40 + .7% of dollar amount |
Minimum option commission: 1-10 contracts, $4.00 per contract; 11 contracts and over, $3.00 per contract
Maximum commission: $40.00 per contract on the first two contracts plus $4.00 per contract thereafter |
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| Principal trades on a net basis and agency trades subject to $50.00 fee |
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| Principal trades on a net basis and agency trades are subject to the following schedule: |
| 1 - 25 Bonds |
$40 + $4 per bond |
| 26 and over |
an additional $3 per bond |
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| Loads established by prospectus |
| $70.00 liquidation fee for UITs not purchased through Commerce |
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| Loads established by prospectus, read carefully before investing |
| No-load funds are subject to the following transaction fees: |
| $40 |
per purchase |
| $20 |
per sale |
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| (Excluding ADRs and international mutual funds) |
| Foreign Bonds: |
$50.00 |
| Foreign Stocks: |
$75.00 |
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| Accounts valued less than $100,000: |
$6.00 per month |
| Accounts valued over $100,000: |
no charge |
| Accounts are valued on the last business day of the month |
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| Stock Transfer to Agent: |
$25.00 per issue |
| Stock Transfer w/ delivery of physical cert: |
$125.00* per issue |
| Legal Transfer/Re-registration: |
$50.00 per issue |
| Photocopies of statements or confirms: |
$5.00 per copy |
| Wire Transfer Fee:
|
$25.00 per wire |
| Inactive Custody Fee: |
$35.00 per year |
| Full Account Transfer: |
$50.00 |
| Partial Account Transfer: |
$30.00 |
| Stop Payment Fee: |
$20.00 per check |
| Returned Check Fee: |
$20.00 |
| Trade Extension Fee: |
$10.00 |
| Restricted Stock/Legend Removal: |
$250.00 |
| Account Research: |
$20.00 per security |
| Physical Reorganization: |
$25.00 (Voluntary and Mandatory) |
| Transaction Fee: |
$3.00 per transaction |
A transaction is a purchase or sale of a stock, bond, or option. Mutual funds and UITs are excluded.
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*Dependent on availability by T/A to issue certificates.
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| Annual Fee †: |
$35.00 |
| Termination Fee: |
$75.00 |
† CBSI may subsidize a portion or all of the NFS Maintenance Fee as described in the "Annual Retirement Maintenance Fee Addendum" provided under separate cover.
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