COMMISSION AND FEE SCHEDULES




PKS Equity and Options Default Fee Schedule

Your registered representative has the option of, after discussing and agreement of client, charging more or less than the default rates.

Equities Listed and OTC. 1
Estimated Principal $ Amount Default Rate2
Up to $1,000 $35.00 Flat rate
$1,001 - 10,000 2.5% of principal
$10,001 - 30,000 2.0% of principal
$30,001 - 60,000 1.5% of principal
$60,001 - 100,000 1.0% of principal
$100,001 - 300,000 0.75% of principal
$300,001 - 600,000 0.60% of principal
$600,001 - 1,000,000 0.45% of principal
$1,000,000 + 0.35% of principal
Options
For Estimated Principal (premium) < $50,000.00
The greater of:

1.0% of premium

$2.00/contract

$35 + $1.50(# of contracts)

For Estimated Principal (premium) > $50,000.00
The greater of:

0.5% of premium

$2.00/contract

Your registered representative has the option of charging more or less than the default rate. Please refer to your trade confirmation for actual amount charged.

All equity and option trades are charged a $4.50 miscellaneous fee. Any other ticket charges are assessed against commissions.

PKS Ticket Charges.