Fees Page


Transfer & Ship

1 $235-$700 or higher plus additional transfer agent fees, DTC fees, and shipping costs

Certificate Processing

2 $75.00 plus any additional transfer agent fees, DTC fees, and shipping costs

Index Fees

3 OptionsHouse charges an additional $0.35 per contract on certain index products where the exchange charges fees, regardless of commission plan.

OTCBB

4 For stocks priced $2.00 or less that are not options eligible, add $0.005 per share for the entire order.

FINRA TAF

5 FINRA levies a Trading Activity Fee (TAF) for sales of covered equity securities that we pass through to you. The FINRA TAF for stock sales is currently $0.000119 per share with a per-transaction cap of $5.95. For example, if you sell 1,000 shares of stock the fee would be the number of shares [1,000] multiplied by $0.000119 which equals $0.119. The FINRA TAF for option sales is currently $0.002 per contract. For example, if you sell 100 options contracts, the fee would be the number of contracts [100] multiplied by $0.002, which equals $0.20.

Exchange Regulatory Fees

6 The Options Regulatory Fee (referred to as the “ORF fee”) is assessed on options transactions executed by exchange members that clear in the customer range at Options Clearing Corporation (“OCC”). The ORF fee varies by options exchange, where an options trade executes and whether the broker responsible for the trade is a member of a particular exchange. As a result, OptionsHouse uses a blended rate that equals or slightly exceeds the amount it is required to remit to the options exchanges. The ORF fee is subject to change at any time. As of May 1, 2014, the blended rate used by OptionsHouse was $0.0356 per options contract which applies to all buy and sell transactions. Fee charges will be rounded to the nearest penny.

Regulatory Fees

7 When you sell a stock or option, we include a regulatory fee which appears on your confirmation slip. OptionsHouse is required to pay this regulatory fee to the applicable regulatory agency based on the volume of securities sold. The current rate for sales of equity securities is $17.40 for every $1,000,000 in sales. OptionsHouse reserves the right to pass-through any additional regulatory or exchange transaction fees.

Execution for Non-DTCC

8 Trades in Non-DTCC Eligible Securities routinely carry with them the following pass-through charges: Execution Fee-$7.50, DTC Fee-$80.00, Deposit Fee-$75.00, and a New York Window Fee of $34.00. Additional pass-through fees from Transfer Agents ranging from $25.00 to $500.00 can also be associated with non-DTCC securities. Before placing trades in these securities, please contact the OptionsHouse Trade Desk to determine the approximate cost to trade these in addition to the OptionsHouse commission charge.

F Share Fees

9 OptionsHouse charges an additional $50 fee per transaction on F shares. F stocks refer to foreign ordinary securities that trade on the OTC Pink Sheet markets. Although these stocks trade on the pink sheets and are quoted in US Dollars, the actual settlement of shares occurs in the local market and currency where the company is registered.

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