Commission Schedule:

• Equities (Stocks & ETFs):
  • Telephone: Call for telephone commission rates: 800-221-3154 / 212-349-9700. (Subject to a minimum commission of $35.00 per trade)
  • Online: Online orders will receive a discount of at least 10% versus the telephone rate. (Subject to a minimum commission of $31.50 per trade).
  • Pre and Post-Market: These orders must be placed via telephone. Call 800-221-3154 / 212-349-9700 for commission rates.
  
  
  • OTC Foreign Settlement Stocks: An $50 international clearance fee (in addition to the regular commission) will apply for DTC eligible stocks dually listed on the OTC Bulletin Board/Pink Sheets and foreign stock exchanges or markets. These stocks predominantly have a 5-letter symbol ending in "F".
    Non-DTC eligible stocks carry a $100 international clearance fee (in additional to the regular commission). Contact us prior to placing an order to see if an OTC foreign stock is DTC eligible.
    Effective 9/24/18, orders will no longer be accepted for securities with a country of settlement in restricted markets (countries). See List.
  
  
• Options:
• Telephone: Call 800-221-3154 for telephone commission rates. (Subject to minimum commission of $35 per trade).
• Online: Call 800-221-3154 for details. Online orders receive a 10% discount off the telephone rate. (Subject to minimum commission of $31.50 per trade).

Complex option orders (naked options, spreads) must be placed via telephone. Spreads shall incur a commission charge on both legs.

Manual Option Exercise (choosing to exercise a long option position prior to expiration) is subject to a fee of $25 (in addition to the normal commision charge for buying or selling the underlying stock).

The Options Regulatory Fee (ORF), which is an aggregate of the fees charged by the various options exchanges and the Options Clearing Corp, for executing options transactions, is NOT passed along to our clients. Unlike other brokers, York Securities absorbs this fee for it's clients.



Note: Options carry a level of risk and are not suitable for all investors. Certain requirements must be met to trade options through York Securities. Before considering any transaction, please read the disclosure document/booklet called the Characteristics & Risks of Standardized Options. Contact YORK at 1-800-221-3154 (or fax, mail, or E-mail your request to: info@yorksec.com) for a copy of this document.



• Bonds:
• Corporate or US Treasuries (Bills, Notes, or Bonds): $.75 per bond (Subject to minimum commission of $35 per trade).
  
  Prices are not marked up or down. (York acts as agent, not as principal). Orders for bonds must be placed via phone: 800-221-3154 / 212-349-9700.


• Mutual Funds:
• Load: A front-end (or back-end) load, which is determined by the respective prospectus, is charged when purchasing (or selling) a load fund.
• No-Load: There is a $21.95 commission to buy or sell a no-load fund.

Visit the Mutual Funds page to view mutual fund families available for purchase through York Securities. Note: Minimum dollar amount per transaction is $500 (unless the specific fund has a higher stated minimum), excluding full liquidations.



Investors should consider the investment objectives, risks, charges and expenses of the investment company carefully before investing. To check this or any other information about a specific mutual fund, please request a prospectus from the fund company or York Securities, to read thoroughly before entering an order.

Sale transactions will include the industry-wide Security Transaction Fee at the rate of $27.80 per $U.S. million. (Fee is in accordance with Section 31 of the Securities Exchange Act of 1934. Rate effective 05/22/2024).

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Check Writing/Debit Card (Optional Features)

Cash Plus Account:

Cash Plus is an asset management account (AMA) that offers check writing, debit card, and online bill pay.
There is a $60 annual fee charged at inception and upon annual anniversary*. (*Waived for accounts with an average credit balance exceeding $25,000 or an average debit balance exceeding $25,000.)

For those residing outside the United States, the cost of shipping the debit card or check book via United States Postal Service Priority Mail International Flat Rate Envelope, will be passed along to the brokerage account at cost.

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Account Minimums:

• $500 initial minimum for a cash account.
• $2000 minimum equity requirement to initiate margin trading. The requirement may be met with cash or marginable securities. In a cash account the anticipated dollar amount of the purchase must be deposited before an order will be accepted.
• If a withdrawal request is made that would bring the account equity below $500, it shall be considered an intention to close the account. Therefore all securities would need to be liquidated (or disposed of), or transferred, before the cash withdrawal request would be processed.



• Low Priced Security Good Faith Deposit:
  For accounts owning stocks with insignificant value, a good faith deposit (GFD) of $60 is required, plus $20 for additional positions. (i.e. own 3 stocks with insignificant value, GFD=$120). This is not a fee charged up front, rather it is money set aside in an account, which could be used to pay a future commission charge or uneconomical sale processing.

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