APPENDIX 
553 
Basic FeEs 
The basic fee for listing stock or securities arising out of stock, such 
as Certificates of Deposit for stock, Interim Certificates for Stock, Allot- 
ment Certificates for Stock, Voting Trust Certificates, etc., shall be, in 
the case of certificates having either no par value or a par value of $100 
or less, one and two-tenths cents (1.2¢) per share, any fraction of ten 
thousand (10,000) shares, over and above a multiple thereof, to be counted 
as ten thousand shares for this purpose. The basic fee for listing bonds, 
debentures, notes and similar instruments having a face value and not being 
issued in denominations of less than $100 shall be one hundred and twenty 
doliars ($120) per million dollars ($1,000,000) face value or fraction 
thereof. 
In any case, where a fee is to be charged, whether at the basic rate or 
at a modified rate, the minimum fee will be $120. 
The full basic fee will be charged in all cases. unless otherwise herein 
stated. 
MobiricaTions oF Basic FEes 
I. In cases where, after an initial listing, a change is involved between 
par and no par in either direction, or is in the amount of the par value of 
the security, or represents a greater or smaller number of shares of no-par 
stock involving the cessation of trading in no-par stock theretofore listed 
(as distinguished from a stock dividend in which the old stock continues 
to be traded in) : the fee for such number of the substituted shares to be 
listed as is not in excess of the number of shares to be stricken from the 
list shall be one-fourth of the basic fee. For all shares, so issued, in excess 
of the number of shares to be stricken from the list. the full basic fee 
will be charged. 
2. Where there is a change in the classification or name of a stock, 
without alteration of any preferences which it may bear, such as from 
Capital to, Common, or vice versa, and without alteration in the number 
of shares, one-fourth of the basic fee will be charged. When, however, 
the change of name of a stock having a preference involves also the giving 
of a higher or lower preference to the stock, the full basic fee will be 
charged. 
3. Where the change is in the nature of an extension of a time limit, 
as in the case of an extended voting trust, the number of shares listed not 
being increased, one-fourth of the basic fee will be charged. 
4. Where the change is from listed stocks or bonds to Certificates of 
Deposit, whether or not a reorganization of the listed company is involved, 
one-fourth of the basic fee will be charged. 
5. When the change is from Certificates of Deposit to stock or bonds: 
(a) If such stock or bonds are identical with formerly listed securities, 
for which such certificates of deposit were issued, no fee will be charged 
up to the number of shares so formerly listed. For additional shares, the 
full basic fee will be charged. 
(b) Where the certificates of deposit have been listed first and are 
thereafter replaced by the securities initially deposited, one fourth of the 
basic fee will be charged for listing such securities. 
(¢) If such stock or bonds represent securities issued under a reorgani- 
zation, or in any other respect differ from the securities for which such