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LIQUIDITY INDICATORDESCRIPTIONTAPE A 
1Taking Liquidity$0.00275$0.0030 if Adding ADV< 250,000
1Floor Take$0.0024 
1SLP Take$0.00275 
1DMM Take$0.00275 
2Providing$(0.00120)$(0.0000) If Non-Displayed
2Providing Tier 4$(0.00150)MPL Adding ADV>4 million shares and MocLoc>0.10%. $(0.0000) if Non-Displayed
2Providing Tier 3$(0.00180)Adding ADV>0.35% Tape A CADV and MocLoc>0.05%. $(0.0000) if Non-Displayed
2Providing Tier 2$(0.0020)Adding ADV>0.75% Tape A CADV and MocLoc>0.10% $(0.0000) if Non-Displayed
2Providing Tier 1$(0.0022)Adding ADV>1.10% Tape A CADV and MocLoc>0.12% $(0.0000) if Non-Displayed
2Floor Provide$(0.00190)$(0.0022) if Floor provide >0.33% Tape A CADV, $(0.0020) if Floor provide >0.07% Tape A CADV, $(0.0022) if member is at providing Tier 1, $(0.0020) if Tier 2
2SLP Provide$(.0014/23)Adding ADV> 0.20% Tape A CADV, otherwise (.0000/.0006) If Non-Displayed
2SLP Tier 2$(.0026)Adding ADV > 0.45% Tape A CADV $(.0009) if Non-Displayed
2SLP Tier 1A$.(00275)Adding ADV> 0.60% Tape A CADV, $(.00105) if Non-Displayed
2SLP Tier 1$(.0029)Adding ADV> 0.90% Tape A CADV, $(.0012) if Non-Displayed
2DMM Provide$(.0015/ 27/31/34/35)Plus credit per issue under 1.5 million CADV in issues meeting quoting requirements as listed in the fee schedule
3Blended or Broker d-Quotes (except when providing) $0.00050$.00150 if > 500K ADV
4Charge for market at-the-close orders$0.0010$0.0004 @ 0.45% MOC of Tape A CADV, 0.70% Total Close of Tape A CADV and 35% MOC of firm Total Close for the prior 3 months, $0.0005 @ 0.35% MOC of Tape A CADV, 0.525% Total Close of Tape A CADV and 35% MOC of firm Total Close for the prior 3 months, $0.0008 @ 0.25% MOC of Tape A CADV, 0.35% Total Close of Tape A CADV and 35% MOC of firm Total Close for the current month, . $0.0005 for Floor MOC
5Opening Executions

$0.0010

$0.0003 for Floor

$30k Monthly Cap
6Electronic Executions at the Close - Not MOC/LOC (25 min until 3 min prior to close)No Charge$.0007 if > 750K ADV
7Charge for limit at-the-close orders$0.0011$0.0007 @ 0.45% MOC of Tape A CADV, 0.70% Total Close of Tape A CADV and 35% MOC of firm Total Close for the prior 3 months, $0.0008 @ 0.35% MOC of Tape A CADV, 0.525% Total Close of Tape A CADV and 35% MOC of firm Total Close for the prior 3 months, $0.0009 @ 0.25% MOC of Tape A CADV, 0.35% Total Close of Tape A CADV and 35% MOC of firm Total Close for the current month
8Retail Price Improvement Orders$0.0003 credit / $0.0003 fee$0.0003 credit RLPs meeting quoting requirements, RLPs in the first two months, and non-RLPs with >500K ADV in retail provide
9Retail Orders from RMOs taking liquidityNo ChargeFor RMO retail orders that take against RPIs, otherwise regular take/route fees apply
11Midpoint Passive Liquidity Order taking liquidity$0.0030$0.0007 @ 0.45% MOC of Tape A CADV, 0.70% Total Close of Tape A CADV and 35% MOC of firm Total Close, $0.0008 @ 0.35% MOC of Tape A CADV, 0.525% Total Close of Tape A CADV and 35% MOC of firm Total Close
12Midpoint Passive Liquidity Order providing liquidity$(0.0010)$(.00275) if Adding ADV>0.14% Tape A CADV. $(.0025) if Adding ADV>0.03% Tape A CADV,. Liquidity tag returned in Tag 9426
13Retail Orders that add liquidity$(0.0030) For orders that add liquidity and are designated as retail (i.e., orders that satisfy the Retail Modifier requirements of Rule 13)
14Retail MPL orders that take liquidity$.0010For MPL orders that take liquidity and are designated as retail (i.e., orders that satisfy the Retail Modifier requirements of Rule 13)
15Closing OffsetNo Charge
16Electronic Executions at the Close - Not MOC/LOC (Earlier than 25 min prior to close)No Charge$.0003 if > 750K ADV
17Electronic Executions at the Close - Not MOC/LOC (After 3 minutes prior to close)No Charge

$.0010 if > 750K ADV

$0.0008 if > 750K ADV and MOC/LOC Tier 1& 2

NAAgency transactions between floor brokers in the crowd or a broker cross $(0.0006) 
AlphaRouting fee $0.00300