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LIQUIDITY INDICATOR DESCRIPTION TAPE A
1 Taking Liquidity $0.00275 $0.0028 if Adding ADV> 250,000 in Tape A and <500K in Tapes B&C Combined $0.0030 if Adding ADV< 250,000 in Tape A
1 Floor Take $0.0024
1 SLP Take $0.00275 $0.0028 if Adding ADV> 250,000 in Tape A and <500K in Tapes B&C Combined $0.0030 if Adding ADV< 250,000 in Tape A
1 DMM Take $0.00275
2 Providing $(0.00120) $(0.0000) If Non-Displayed. Additional $(.0001) if Adding ADV > 0.20% on Tapes B&C
2 Providing Tier 4 $(0.00150) MPL Adding ADV>4 million shares and MocLoc>0.10%. $(0.0000) if Non-Displayed. Additional $(.0001) if Adding ADV > 0.20% on Tapes B&C
2 Providing Tier 3 $(0.00180) Adding ADV>0.40% Tape A CADV and MocLoc>0.05% or Adding ADV>0.35% Tape A CADV, MocLoc>0.05%, and MPL Adding ADV>400K shares $(0.0000) if Non-Displayed. Additional $(.0001) if Adding ADV > 0.20% on Tapes B&C
2 Providing Tier 2 $(0.0020) Adding ADV>0.75% Tape A CADV and MocLoc>0.10% $(0.0000) if Non-Displayed. Additional $(.00005) if Adding ADV > 0.20% on Tapes B&C
2 Providing Tier 1 $(0.0022) Adding ADV>1.20% Tape A CADV and MocLoc>0.12% $(0.0000) if Non-Displayed. Additional $(.00005) if Adding ADV > 0.20% on Tapes B&C
2 Floor 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
2 SLP Provide $(.0012/23) Adding ADV> 0.20% Tape A CADV, otherwise (.0000/.0006) If Non-Displayed. Additional $(.0001) if SLP > 0.30% on Tapes B&C
2 SLP Step Up Tier $(.0018) Adding ADV > 0.085% Tape A CADV over April 2018, $(.0001) if Non-Displayed. Additional $(.0001) if SLP > 0.30% on Tapes B&C
2 SLP Tier 2 $(.0026) Adding ADV > 0.45% Tape A CADV $(.0009) if Non-Displayed.Additional $(.0001) if SLP > 0.30% on Tapes B&C
2 SLP Tier 1A $.(00275) Adding ADV> 0.60% Tape A CADV, $(.00105) if Non-Displayed. Additional $(.0001) if SLP > 0.30% on Tapes B&C
2 SLP Tier 1 $(.0029) Adding ADV> 0.90% Tape A CADV, $(.0012) if Non-Displayed. Additional $(.00005) on SLP and non-SLP Add if SLP > 0.30% on Tapes B&C
2 SLP Tier Up Tier 2 Additional Credit based on the following step up

Adding Tape A CADV over 2Q 2018 Baseline as follows:

  • ADV> 0.25%, $(.0003)
  • ADV> 0.15%, $(.0002)
  • ADV> 0.10%, $(.0001)
2 DMM 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
3 Blended or Broker d-Quotes (except when providing) $0.00050 $.00150 if > 500K ADV
4 Charge 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
5 Opening Executions

$0.0010

$0.0003 for Floor

$30k Monthly Cap
6 Electronic Executions at the Close - Not MOC/LOC (25 min until 3 min prior to close) No Charge $.0007 if > 750K ADV
7 Charge 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
8 Retail 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
9 Retail Orders from RMOs taking liquidity No Charge For RMO retail orders that take against RPIs, otherwise regular take/route fees apply
10 Retail MPL Orders from RMOs taking Liquidity $0.0010
11 Midpoint 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
12 Midpoint 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
13 Retail 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)
14 Retail MPL orders that take liquidity $.0010 For MPL orders that take liquidity and are designated as retail (i.e., orders that satisfy the Retail Modifier requirements of Rule 13)
15 Closing Offset No Charge
16 Electronic Executions at the Close - Not MOC/LOC (Earlier than 25 min prior to close) No Charge $.0003 if > 750K ADV
17 Electronic 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

NA Agency transactions between floor brokers in the crowd or a broker cross $(0.0006)
Alpha Routing fee $0.0035 for Tapes A, B, and C $0.0030 if Adding ADV > 0.20% in Tape A, B & C Combined