| 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* |
ViewTrade Holding Corporation
ViewTrade Holding Corporation (“ViewTrade”) is the parent company of Orbis Systems Inc and ViewTrade Securities Inc, each wholly owned subsidiaries of ViewTrade
Orbis Systems, Inc. Disclaimers
Technology Services are provided by Orbis Systems, Inc. (“Orbis”)
ViewTrade Securities, Inc. Disclaimers
Securities and brokerage services are provided through ViewTrade Securities, Inc. (“ViewTrade Securities”), a broker-dealer registered with the Securities and Exchange Commission and a member of the Financial Industry Regulatory Authority (FINRA), SIPC, NYSE Arca, NASDAQ, CBOE Edge, CBOE BATS.
Investing involves serious risks and past performance is no guarantee of future performance or success. This is not an offer to buy or sell securities and nothing contained on this website should be interpreted as a recommendation regarding any investment or investment strategy. Please review our disclosures page for more important information.
INVESTMENTS: ARE NOT FDIC INSURED • MAY LOSE VALUE • ARE NOT BANK GUARANTEED
