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 Among Underwriters (MainStay CBRE Global Infrastructure Megatrends Fund), Master Agreement Among Underwriters (Western Asset Diversified Income Fund), Master Agreement Among Underwriters (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 Among Underwriters (GAMCO Natural Resources, Gold & Income Trust), Master Agreement Among Underwriters (Dreyfus Alcentra Global Credit Income 2024 Target Term Fund, Inc.), Master Agreement Among Underwriters (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 Xxxxx and the accounting firm or firms that participate in oral due diligence in such offering.
Appears in 24 contracts
Samples: Master Agreement Among Underwriters (Gabelli Multimedia Trust Inc.), Master Agreement Among Underwriters (AllianzGI Diversified Income & Convertible Fund), Master Agreement Among Underwriters (Gabelli Healthcare & WellnessRx 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 Among Underwriters (RiverNorth Managed Duration Municipal Income Fund II, Inc.), Master Agreement Among Underwriters (Nuveen Variable Rate Preferred & Income Fund), Master Agreement Among Underwriters (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 [insert name of Investment Banking Firm] and the accounting firm or firms that participate in oral due diligence in such offering.
Appears in 6 contracts
Samples: Master Agreement Among Underwriters, Master Agreement Among Underwriters, Master Agreement Among Underwriters
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 Among Underwriters (Cohen & Steers Real Estate Opportunities & Income Fund), Master Agreement Among Underwriters (PIMCO Access Income Fund), Master Agreement Among Underwriters (Guggenheim Active Allocation 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 Among Underwriters (First Trust High Yield Opportunities 2027 Term Fund), Master Agreement Among Underwriters (Gabelli Equity Trust Inc), Master Agreement Among Underwriters (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 Among Underwriters (RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.), Master Agreement Among Underwriters (Rivernorth Opportunities Fund, Inc.), Master Agreement Among Underwriters (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 Among Underwriters (BlackRock Capital Allocation Trust), Master Agreement Among Underwriters (Gabelli Multimedia Trust Inc.), Master Agreement Among Underwriters (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 Mxxxxxx Lxxxx and the accounting firm or firms that participate in oral due diligence in such offering.
Appears in 2 contracts
Samples: Master Agreement Among Underwriters (Guggenheim Build America Bonds Managed Duration Trust), Master Agreement Among Underwriters (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 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 Among Underwriters (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 [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 Among Underwriters, Master Agreement Among Underwriters
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 Among Underwriters (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 [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 1 contract
Samples: Master Agreement Among Underwriters
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.in
Appears in 1 contract
Samples: Master Agreement Among Underwriters
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 Among Underwriters (Eagle Growth & Income 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 Deutsche Bank Securities Inc. and the accounting firm or firms that participate in oral due diligence in such offering.
Appears in 1 contract
Samples: Master Agreement Among Underwriters (Eagle Point Credit Co Inc.)
