Effective January 1, 2012
| Account Service Fee1 |
$50.00 |
| Customer Name Safekeeping |
$48.00/position/year |
| Foreign Securities Safekeeping |
$48.00/position/year |
| Employee Stock Option Exercise |
$100.00 |
| Margin Extensions / Late Payment2 |
$10.00 |
| Closing / Transfer Out Fee |
$95.00 |
| No- and Low-Load Mutual Fund Transaction Fee (Service Charge)3 |
$75.00 |
| Options Regulatory Fee |
Fee imposed by applicable Regulatory
Agencies/Exchanges |
| Retirement Accounts Annual Special Product Fee |
$35.00/position/year |
| Retail Accounts Annual Special Product Fee |
$100.00/position/year |
| New Document Review |
$100.00 |
| Subscription / Redemption / Re-Registration |
$50.00 + Fee imposed by Transfer Agent |
| Private Placements Safekeeping |
$48.00/position/year |
| Setup Fee |
$0.00 |
| IRA Household Northwestern Mutual Cash Management Gold or Platinum4 |
$0.00 |
| Annual Fee5 |
$50.00 |
| Closing / Transfer Out Fee |
$145.00 |
| Coverdell ESA Annual Fee5 |
$25.00 |
| Coverdell ESA Closing / Transfer Out Fee |
$120.00 |
| Roth Conversion Fee |
$25.00 |
| Legal Deposit Fee6 |
$60.00 per CUSIP |
| Reorganization7 |
$10.00 |
| Foreign Fixed Income Clearance |
$50.00 |
| Foreign Securities Deposits and Transfers |
$75.00 |
| Incoming and/or Outgoing Account Transfer |
Fee imposed by the Transfer Agent |
| Foreign Stock Dividend |
Fee imposed by the Depository |
| Treasuries and GNMA Transfers / Deposits |
$50.00 per Certificate |
| Asset Delivery to Transfer Agent |
$10.00 |
| Restricted Stock Processing Fee8 |
$40.00/$90.00 |
| Wire Transfer |
$15.00 |
| Check Overnight Disbursement |
$12.00 |
| Returned Check / ACH |
$25.00 |
| Overdraft / Prepayment Fee |
$40.00 |
| Annual Fee |
$0.00 |
| Check Stop Payment (No additional charge is incurred if a series of checks are stopped) |
$10.00 |
| Historical Check Copy |
$2.50 |
| Returned Check / Electronic Payment |
$25.00 |
| Check Re-Orders (Supply of 25) |
$0.00 |
| Overnight Fee for Check Re-Orders |
$20.00 |
| Overdraft Fee |
$40.00 |
| Qualified Retirement Plans |
Northwestern Mutual reserves the right to charge re-registration fee (e.g. tax law change requiring new documents) |
| Northwestern Mutual Prototype Plan Document Setup Fee |
$400.00 |
| Annual Fee |
$0.00 |
| Check Stop Payment (No additional charge is incurred if a series of checks are stopped) |
$10.00 |
| Historical Check Copy |
$2.50 |
| Returned Check / Electronic Payment |
$25.00 |
| Check Re-Orders (Supply of 120) |
$10.00 |
| Overnight Fee for Check Re-Orders |
$20.00 |
| Overdraft Fee |
$40.00 |
| Bill Suite |
$0.00 |
| Annual Fee10 |
$100.00 |
| Check Stop Payment (No additional charge is incurred if a series of checks are stopped) |
$10.00 |
| Historical Check Copy |
$2.50 |
| Returned Check / Electronic Payment |
$25.00 |
| Check Re-Orders (Supply of 120) |
$10.00 |
| Overnight Fee for Check / Debit Card Orders |
$20.00 |
| Overdraft Fee |
$40.00 |
| Bill Suite |
$0.00 |
1The Account Service Fee applies only to select accounts opened before 1/1/12 with household assets totaling less than $50,000 in assets held at NMIS. Accounts exempt from this fee include: Northwestern Mutual Cash Management Gold and Platinum, IRAs, qualified retirement plans, accounts that hold share classes that are designed specifically for employer-sponsored 529 plans, accounts invested solely in certain single-fund solutions, and accounts serviced by the Northwestern Mutual Client Service Center. For more information regarding the Account Service Fee, please contact your NMIS registered representative.
2NMIS reserves the right to assess a late payment fee, with a minimum of $10.00, for any trade paid after the date due. The charge will be calculated at the current margin interest rate beginning on settlement date. Late payment fees will be subject to a $10.00 minimum such that any fee calculated to equal $1.00-10.00 may be charged a flat $10.00. Amounts less than $1.00 may be waived. The interest period for late payments is the 16th of the month through the 15th of the following month. Charges are posted to the client's cash account on the same day margin interest is posted (second last business day of the month). IRA accounts, DVP accounts, and accounts with a margin balance are not subject to the late payment fee. Other accounts that accrue small interest amounts and/or that have no prior history of late payment, etc., may be waived by NMIS at NMIS's discretion.
3Clients will be assessed a Service Charge for the purchase of certain no- and low-load funds. A complete list of impacted fund families can be obtained by contacting your NMIS registered representative. The fee may not be applicable for certain ERISA accounts.
4One free IRA account when householded to a Northwestern Mutual Cash Management Gold or Platinum account.
5The annual fee for IRA accounts and Coverdell ESAs is waived if a single account, or a combined household, holds $250,000 or more in assets held electronically (not in certificate form) or assets held directly at NMIS (not directly at a mutual fund company). In addition, the IRA fee is waived for Signature Advisory IRA accounts, including Signature Annuities. Contact your NMIS registered representative for details.
6Legal deposits are certificates that require legal documents (death certificate, corporate resolution, etc.) to render it negotiable.
7Reorganization Fee: The exchange of a physical certificate for another certificate (and/or cash) as part of a company reorganization activity. Applies to customer name certificates only; no fees are assessed for corporate action transactions for securities registered in street name (electronically held at NMIS).
8The fee may be assessed at $90 for full service if NMIS involves outside counsel to ensure all legal opinions are received in good order. Also may be subject to a $60 legal deposit fee.
9Available for IRA account holders over 59½ only.
10Annual Northwestern Mutual Cash Management Gold and Platinum fee is waived if the account holds $250,000 or more, or if your combined household holds $250,000 or more in assets held electronically (not in certificate form) at NMIS. Accounts must be householded prior to fee invoicing. Contact your NMIS registered representative for details. If the household contains an IRA, one IRA annual fee is waived. Other charges from outside vendors may apply (e.g., ATM or transfer agent fees).