Agreement Regarding Oral Due Diligence. By participating in an Offering, each Underwriter agrees that it, each of its affiliates participating in an Offering as Underwriter or financial intermediary and each controlling person of it and each such participating affiliate are bound by the Agreement Regarding Oral Due Diligence currently in effect between Xxxxxx Xxxxxxx and the accounting firm or firms that participate in oral due diligence in such offering.
Appears in 67 contracts
Samples: Master Agreement (MainStay CBRE Global Infrastructure Megatrends Fund), Master Agreement (Western Asset Diversified Income Fund), Master Agreement (BlackRock Innovation & Growth Trust)
Agreement Regarding Oral Due Diligence. By participating in an Offering, each Underwriter agrees that it, each of its affiliates participating in an Offering as Underwriter or financial intermediary and each controlling person of it and each such participating affiliate are bound by the Agreement Regarding Oral Due Diligence currently in effect between Xxxxxx Xxxxxxx Xxxxx Fargo Securities and the accounting firm or firms that participate in oral due diligence in such offering.
Appears in 25 contracts
Samples: Master Agreement (GAMCO Natural Resources, Gold & Income Trust), Master Agreement (Dreyfus Alcentra Global Credit Income 2024 Target Term Fund, Inc.), Master Agreement (Eaton Vance Floating-Rate 2022 Target Term Trust)
Agreement Regarding Oral Due Diligence. By participating in an Offering, each Underwriter agrees that it, each of its affiliates participating in an Offering as Underwriter or financial intermediary and each controlling person of it and each such participating affiliate are bound by the Agreement Regarding Oral Due Diligence currently in effect between Xxxxxx Xxxxxxx UBS Securities LLC and the accounting firm or firms that participate in oral due diligence in such offering.
Appears in 24 contracts
Samples: Master Agreement (RiverNorth Managed Duration Municipal Income Fund II, Inc.), Master Agreement (Nuveen Variable Rate Preferred & Income Fund), Master Agreement (RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.)
Agreement Regarding Oral Due Diligence. By participating in an Offering, each Underwriter agrees that it, each of its affiliates participating in an Offering as Underwriter or financial intermediary and each controlling person of it and each such participating affiliate are bound by the Agreement Regarding Oral Due Diligence currently in effect between Xxxxxx Xxxxxxx Xxxxx and the accounting firm or firms that participate in oral due diligence in such offering.
Appears in 24 contracts
Samples: Master Agreement (AllianzGI Diversified Income & Convertible Fund), Master Agreement (Goldman Sachs MLP & Energy Renaissance Fund), Master Agreement (Ares Multi-Strategy Credit Fund, Inc.)
Agreement Regarding Oral Due Diligence. By participating in an Offering, each Underwriter agrees that it, each of its affiliates participating in an Offering as Underwriter or financial intermediary and each controlling person of it and each such participating affiliate are bound by the Agreement Regarding Oral Due Diligence currently in effect between Xxxxxx Xxxxxxx [insert name of Investment Banking Firm] and the accounting firm or firms that participate in oral due diligence in such offering.
Appears in 7 contracts
Samples: Master Agreement, Master Agreement, Master Agreement
Agreement Regarding Oral Due Diligence. By participating in an Offering, each Underwriter agrees that it, each of its affiliates participating in an Offering as Underwriter or financial intermediary and each controlling person of it and each such participating affiliate are bound by the Agreement Regarding Oral Due Diligence currently in effect between Xxxxxx Xxxxxxx BofA and the accounting firm or firms that participate in oral due diligence in such offering.
Appears in 6 contracts
Samples: Master Agreement (Guggenheim Active Allocation Fund), Master Agreement (BlackRock ESG Capital Allocation Trust), Cohen & Steers Real Estate Opportunities & Income Fund
Agreement Regarding Oral Due Diligence. By participating in an Offering, each Underwriter agrees that it, each of its affiliates participating in an Offering as Underwriter or financial intermediary and each controlling person of it and each such participating affiliate are bound by the Agreement Regarding Oral Due Diligence currently in effect between Xxxxxx Xxxxxxx Mxxxxx Sxxxxxx and the accounting firm or firms that participate in oral due diligence in such offering.
Appears in 5 contracts
Samples: Master Agreement (First Trust High Yield Opportunities 2027 Term Fund), Master Agreement (Gabelli Equity Trust Inc), Master Agreement (Duff & Phelps Select Energy MLP Fund Inc.)
Agreement Regarding Oral Due Diligence. By participating in an Offering, each Underwriter agrees that it, each of its affiliates participating in an Offering as Underwriter or financial intermediary and each controlling person of it and each such participating affiliate are bound by the Agreement Regarding Oral Due Diligence currently in effect between Xxxxxx Xxxxxxx Wxxxx Fargo Securities and the accounting firm or firms that participate in oral due diligence in such offering.
Appears in 4 contracts
Samples: Master Agreement (RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.), Master Agreement (Rivernorth Opportunities Fund, Inc.), Master Agreement (Neuberger Berman MLP Income Fund Inc.)
Agreement Regarding Oral Due Diligence. By participating in an Offering, each Underwriter agrees that it, each of its affiliates participating in an Offering as Underwriter or financial intermediary and each controlling person of it and each such participating affiliate are bound by the Agreement Regarding Oral Due Diligence currently in effect between Xxxxxx Xxxxxxx BofAS and the accounting firm or firms that participate in oral due diligence in such offering.
Appears in 3 contracts
Samples: Master Agreement (BlackRock Capital Allocation Trust), Master Agreement (Gabelli Multimedia Trust Inc.), Master Agreement (AllianzGI Artificial Intelligence & Technology Opportunities Fund)
Agreement Regarding Oral Due Diligence. By participating in an Offering, each Underwriter agrees that it, each of its affiliates participating in an Offering as Underwriter or financial intermediary and each controlling person of it and each such participating affiliate are bound by the Agreement Regarding Oral Due Diligence currently in effect between Xxxxxx Xxxxxxx [insert name of Investment Banking Firm] and the accounting firm or firms that participate in oral due diligence in such offering.. DEFAULTING UNDERWRITERS
Appears in 2 contracts
Samples: Master Agreement, www.sifma.org
Agreement Regarding Oral Due Diligence. By participating in an Offering, each Underwriter agrees that it, each of its affiliates participating in an Offering as Underwriter or financial intermediary and each controlling person of it and each such participating affiliate are bound by the Agreement Regarding Oral Due Diligence currently in effect between Xxxxxx Xxxxxxx Mxxxxxx Lxxxx and the accounting firm or firms that participate in oral due diligence in such offering.
Appears in 2 contracts
Samples: Master Agreement (Guggenheim Build America Bonds Managed Duration Trust), Master Agreement (Western Asset High Yield Defined Opportunity Fund Inc.)
Agreement Regarding Oral Due Diligence. By participating in an Offering, each Underwriter agrees that it, each of its affiliates participating in an Offering as Underwriter or financial intermediary and each controlling person of it and each such participating affiliate are bound by the Agreement Regarding Oral Due Diligence currently in effect between Xxxxxx Xxxxxxx [insert name of Investment Banking Firm] and the accounting firm or firms that participate in oral due diligence in such offering.. XI. DEFAULTING UNDERWRITERS
Appears in 2 contracts
Samples: Master Agreement, Master Agreement
Agreement Regarding Oral Due Diligence. By participating in an Offering, each Underwriter agrees that it, each of its affiliates participating in an Offering as Underwriter or financial intermediary and each controlling person of it and each such participating affiliate are bound by the Agreement Regarding Oral Due Diligence currently in effect between Xxxxxx Xxxxxxx Morgan Stanley and the accounting firm or accouxxxxx fxxx xx firms that participate in oral due diligence in such offering.
Appears in 2 contracts
Samples: Master Agreement (First Trust New Opportunities MLP & Energy Fund), Master Agreement (First Trust MLP & Energy Income Fund)
Agreement Regarding Oral Due Diligence. By participating in an Offering, each Underwriter agrees that it, each of its affiliates participating in an Offering as Underwriter or financial intermediary and each controlling person of it and each such participating affiliate are bound by the Agreement Regarding Oral Due Diligence currently in effect between Xxxxxx Xxxxxxx Xxxxx, Xxxxxxxx & Xxxxx, Inc. and the accounting firm or firms that participate in oral due diligence in such offering.
Appears in 2 contracts
Samples: Master Agreement (StoneCastle Financial Corp.), Master Agreement (StoneCastle Financial Corp.)
Agreement Regarding Oral Due Diligence. By participating in an Offering, each Underwriter agrees that it, each of its affiliates participating in an Offering as Underwriter or financial intermediary and each controlling person of it and each such participating affiliate are bound by the Agreement Regarding Oral Due Diligence currently in effect between Xxxxxx Xxxxxxx Deutsche Bank Securities Inc. and the accounting firm or firms that participate in oral due diligence in such offering.
Appears in 1 contract
Agreement Regarding Oral Due Diligence. By participating in an Offering, each Underwriter agrees that it, each of its affiliates participating in an Offering as Underwriter or financial intermediary and each controlling person of it and each such participating affiliate are bound by the Agreement Regarding Oral Due Diligence currently in effect (if any) between Xxxxxx Xxxxxxx Xxxxxxxx and the accounting firm or firms that participate in oral due diligence in such offering.
Appears in 1 contract
Samples: Master Agreement (Salient MLP & Energy Infrastructure Fund)
Agreement Regarding Oral Due Diligence. By participating in an Offering, each Underwriter agrees that it, each of its affiliates participating in an Offering as Underwriter or financial intermediary and each controlling person of it and each such participating affiliate are bound by the Agreement Regarding Oral Due Diligence currently in effect between Xxxxxx Xxxxxxx Xxxxx & Associates, Inc. and the accounting firm or firms that participate in oral due diligence in such offering.
Appears in 1 contract
Samples: Master Agreement (Eagle Growth & Income Opportunities Fund)
