| Fee Type | Account Type | Contra Party | Penny | Non-Penny | ||
|---|---|---|---|---|---|---|
| Add | Remove | Add | Remove | |||
| Non-auction Transactions | Public Customer | Public Customer | USD 0.00 | USD 0.00 | USD 0.00 | USD 0.00 |
| Public Customer | Professional Customer/ Broker Dealer | USD 0.00 | USD (0.20) | USD 0.00 | USD (0.50) | |
| Public Customer | MarketMaker | USD 0.00 | USD (0.20) | USD 0.00 | USD (0.50) | |
| Professional Customer/ Broker Dealer | Public Customer | USD 0.60 | USD 0.50 | USD 0.95 | USD 0.95 | |
| Professional Customer/ Broker Dealer | Professional Customer/ Broker Dealer | USD 0.15 | USD 0.50 | USD 0.15 | USD 0.85 | |
| Professional Customer/ Broker Dealer | MarketMaker | USD 0.15 | USD 0.50 | USD 0.15 | USD 0.85 | |
| Market Maker | Public Customer | USD 0.50 | USD 0.50 | USD 0.95 | USD 0.95 | |
| Market Maker | Professional Customer/ Broker Dealer | USD 0.00 | USD 0.50 | USD 0.00 | USD 0.75 | |
| Market Maker | Market Maker | USD 0.00 | USD 0.50 | USD 0.00 | USD 0.75 | |
| SPY Non-Auction Transactions | Public Customer | Public Customer | USD 0.00 | USD 0.00 | N/A | N/A |
| Public Customer | Professional Customer/ Broker Dealer | USD 0.00 | USD 0.10 | N/A | N/A | |
| Public Customer | MarketMaker | USD 0.00 | USD 0.10 | N/A | N/A | |
| Professional Customer/ Broker Dealer | Public Customer | USD 0.60 | USD 0.50 | N/A | N/A | |
| Professional Customer/ Broker Dealer | Professional Customer/ Broker Dealer | USD 0.15 | USD 0.50 | N/A | N/A | |
| Professional Customer/ Broker Dealer | MarketMaker | USD 0.15 | USD 0.50 | N/A | N/A | |
| Market Maker | Public Customer | USD 0.00 | USD 0.50 | N/A | N/A | |
| Market Maker | Professional Customer/ Broker Dealer | USD 0.00 | USD 0.50 | N/A | N/A | |
| Market Maker | Market Maker | USD 0.00 | USD 0.50 | N/A | N/A | |
| On-Open | Public Customer | None | USD 0.00 | USD 0.00 | USD 0.00 | USD 0.00 |
| Professional Customer/ Broker Dealer | None | USD 0.20 | USD 0.20 | USD 0.20 | USD 0.20 | |
| Market Maker | None | USD 0.12 | USD 0.12 | USD 0.12 | USD 0.12 | |
| PIP and COPIP Transactions | Public Customer (incl SPY) | None | USD 0.00 | USD 0.00 | USD 0.00 | USD 0.00 |
| Professional Customer/ Broker Dealer/Market Maker (excl SPY) | None | USD 0.05 | USD 0.05 | USD 0.05 | USD 0.05 | |
| Professional Customer/ Broker Dealer/Market maker - SPY | None | USD 0.02 | USD 0.05 | USD 0.05 | USD 0.05 | |
| Improvement Order | Public Customer | None | USD 0.49 | USD 0.00 | USD 0.96 | USD 0.00 |
| Professional Customer/ Broker Dealer/Market Maker | None | USD 0.50 | USD 0.00 | USD 1.15 | USD 0.00 | |
| SPY orders | None | USD 0.50 | USD 0.00 | USD 0.50 | USD 0.00 | |
| PIP and COPIP Break-Up Credit | Public Customer | None | USD 0.00 | USD (0.34) | USD 0.00 | USD (0.81) |
| Professional Customer/ Broker Dealer | None | USD 0.00 | USD (0.34) | USD 0.00 | USD (0.81) | |
| Market Maker | None | USD 0.00 | USD (0.34) | USD 0.00 | USD (0.81) | |
| SPY orders | None | USD 0.00 | USD (0.45) | USD 0.00 | USD (0.45) | |
| QOO Order Fees | Public Customer | None | USD 0.00 | USD 0.00 | USD 0.00 | USD 0.00 |
| Professional Customer | None | USD 0.10 | USD 0.10 | USD 0.10 | USD 0.10 | |
| Broker Dealer | None | USD 0.25 | USD 0.25 | USD 0.25 | USD 0.25 | |
| Broker Dealer Facilitating a Public Customer | None | USD 0.00 | USD 0.00 | USD 0.00 | USD 0.00 | |
| Market Maker | None | USD 0.35 | USD 0.35 | USD 0.35 | USD 0.35 | |
| Complex Orders | Public Customer | Public Customer | USD 0.00 | USD 0.00 | USD 0.00 | USD 0.00 |
| Public Customer | Professional Customer/ Broker Dealer | USD (0.50) | USD (0.50) | USD (0.90) | USD (0.90) | |
| Public Customer | MarketMaker | USD (0.50) | USD (0.50) | USD (0.90) | USD (0.90) | |
| Professional Customer/ Broker Dealer | Public Customer | USD 0.50 | USD 0.50 | USD 0.98 | USD 0.98 | |
| Professional Customer/ Broker Dealer | Professional Customer/ Broker Dealer | USD (0.30) | USD 0.50 | USD (0.30) | USD 1.00 | |
| Professional Customer/ Broker Dealer | MarketMaker | USD (0.30) | USD 0.50 | USD (0.30) | USD 1.00 | |
| Market Maker | Public Customer | USD 0.5 | USD 0.50 | USD 0.98 | USD 0.98 | |
| Market Maker | Professional Customer/ Broker Dealer | USD (0.30) | USD 0.50 | USD (0.30) | USD 1.00 | |
| Market Maker | Market Maker | USD (0.30) | USD 0.50 | USD (0.30) | USD 1.00 | |
| Complex Orders Surcharge | Professional Customer/ Broker Dealer/ Market Maker | Public Customer | USD 0.12 | USD 0.12 | USD 0.12 | USD 0.12 |
Notes: