Common use of Applicability of this Agreement Clause in Contracts

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any offering of securities ("Securities"), whether pursuant to a registration statement filed under the Securities Act of 1933, as amended (the "Securities Act"), or exempt from registration thereunder, in respect of which Xxxxxxx Xxxxx Xxxxxx Inc. (acting for its own account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 27 contracts

Samples: Master Selected Dealer Agreement (Alliance National Municipal Income Fund), Master Selected Dealer Agreement (ING GLOBAL EQUITY DIVIDEND & PREMIUM Opportunity FUND), Master Selected Dealer Agreement (Blackrock Municipal Target Term Trust Inc)

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Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any offering of securities ("Securities"), whether pursuant to a registration statement filed under the Securities Act of 1933, as amended (the "Securities Act"), or exempt from registration thereunder, in respect of which Xxxxxxx Xxxxx Xxxxxx Inc. (acting for its own account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 12 contracts

Samples: Master Selected Dealer Agreement (Nuveen Build America Bond Opportunity Fund), Master Selected Dealer Agreement (ClearBridge Energy MLP Fund Inc.), Master Selected Dealer Agreement (Nuveen Mortgage Opportunity Term Fund 2)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any offering of securities ("Securities"), whether pursuant to a registration statement filed under the Securities Act of 1933, as amended (the "Securities Act"), or exempt from registration thereunder, in respect of which Xxxxxxx Xxxxx Xxxxxx Salomon Smith Barney Inc. (acting for its own account or for the account of any underwriting accouxx xx xxx xxxexxxxxxng or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 9 contracts

Samples: Master Selected Dealer Agreement (Nuveen Quality Preferred Income Fund 2), Master Selected Dealer Agreement (Nuveen Tax-Advantaged Dividend Growth Fund), Master Selected Dealer Agreement (Calamos Global Total Return Fund)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any public offering of securities ("Securities"), whether ”) pursuant to a registration statement filed under the Securities Act of 1933, as amended 1933 (the "Securities Act"), or exempt from registration thereunderthereunder (other than a public offering of Securities effected wholly outside the United States of America), in respect of which Xxxxxxx Xxxxx Xxxxxx wherein ABN AMRO Financial Services, Inc. (“AAFS”) (acting for its own account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected broker-dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 6 contracts

Samples: Selling Agent Agreement (SLM Corp), Selling Agent Agreement (Manulife Financial Corp), Selling Agent Agreement (Hancock John Life Insurance Co)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any public offering of securities ("Securities"), whether pursuant to a registration statement filed under the Securities Act of 1933, as amended 1933 (the "Securities Act"), or exempt from registration thereunderthereunder (other than a public offering of Securities effected wholly outside the United States of America), in respect of which Xxxxxxx Xxxxx Xxxxxx Inc. wherein Incapital LLC clearing through BNY Clearing Services, LLC (the "Account") (acting for its own account Account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 4 contracts

Samples: Selling Agent Agreement (Bank of America Corp /De/), Selling Agent Agreement (PHH Corp), Selling Agent Agreement (General Electric Capital Corp)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any public offering of securities ("Securities"), whether pursuant to a registration statement filed under the Securities Act of 1933, as amended 1933 (the "Securities Act"), or exempt from registration thereunderthereunder (other than a public offering of Securities effected wholly outside the United States of America), in respect of which Xxxxxxx Xxxxx Xxxxxx Inc. wherein Incapital LLC clearing through BNY Clearing Services, LLC (the “Account”) (acting for its own account Account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 4 contracts

Samples: Selling Agent Agreement (General Electric Capital Corp), Selling Agent Agreement (Dow Chemical Co /De/), Selling Agent Agreement (Prudential Financial Inc)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any public offering of securities ("SecuritiesSECURITIES"), whether ) pursuant to a registration statement filed under the Securities Act of 1933, as amended 1933 (the "Securities ActSECURITIES ACT"), or exempt from registration thereunderthereunder (other than a public offering of Securities effected wholly outside the United States of America), in respect of which Xxxxxxx Xxxxx Xxxxxx wherein ABN AMRO Financial Services, Inc. ("AAFS") (acting for its own account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected broker-dealers ("Selected DealersSELECTED DEALERS") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "OfferingOFFERING". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("UnderwritersUNDERWRITERS"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 4 contracts

Samples: Selling Agent Agreement (United Parcel Service Inc), Selling Agent Agreement (United Parcel Service Inc), Selling Agent Agreement (International Lease Finance Corp)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any public offering of securities ("Securities"), whether ) pursuant to a registration statement filed under the Securities Act of 1933, as amended 1933 (the "Securities Act"), ) or exempt from registration thereunderthereunder (other than a public offering of Securities effected wholly outside the United States of America), in respect of which Xxxxxxx Xxxxx Xxxxxx wherein ABN AMRO Financial Services, Inc. (acting for its own account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected broker-dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 3 contracts

Samples: Selling Agent Agreement (General Motors Acceptance Corp), Selling Agent Agreement (General Motors Acceptance Corp), Selling Agent Agreement (General Motors Acceptance Corp)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any public offering of securities ("Securities"), whether ) pursuant to a registration statement filed under the Securities Act of 1933, as amended 1933 (the "Securities Act"), ) or exempt from registration thereunderthereunder (other than a public offering of Securities effected wholly outside the United States of America), in respect of which Xxxxxxx Xxxxx Xxxxxx Inc. wherein [Agent Name] (acting for its own account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected broker-dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 3 contracts

Samples: Selling Agent Agreement (Caterpillar Financial Services Corp), Selling Agent Agreement (Caterpillar Financial Services Corp), Selling Agent Agreement (Caterpillar Financial Services Corp)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any public offering of securities ("Securities"), whether pursuant to a registration statement filed under the Securities Act of 1933, as amended 1933 (the "Securities “1933 Act"), or exempt from registration thereunderthereunder (other than a public offering of Securities effected wholly outside the United States of America), in respect of which Xxxxxxx Xxxxx Xxxxxx Inc. wherein Incapital LLC clearing through BNY Clearing Services, LLC (the “Account”) (acting for its own account Account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 3 contracts

Samples: Selling Agent Agreement (Associated Banc-Corp), Selling Agent Agreement (Eop Operating LTD Partnership), Selling Agent Agreement (Paccar Financial Corp)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any public offering of securities ("Securities"), whether pursuant to a registration statement filed under the Securities Act of 1933, as amended (the "Securities Act"), or exempt from registration thereunderthereunder (other than a public offering of Securities effected wholly outside the United States of America), in respect of which Xxxxxxx Xxxxx Xxxxxx Inc. wherein Incapital LLC clearing through Pershing, LLC (the “Account”) (acting for its own account Account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 3 contracts

Samples: Selling Agent Agreement (Incapital Trust Products II LLC), Selling Agent Agreement (Incapital Trust Products LLC), Underwriting Agreement (Bond Trust Products LLC)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any public offering of securities ("Securities"), whether pursuant to a registration statement filed under the Securities Act of 1933, as amended (the "Securities Act"), or exempt from registration thereunderthereunder (other than a public offering of Securities effected wholly outside the United States of America), in respect of which Xxxxxxx Xxxxx Xxxxxx Inc. wherein Incapital LLC clearing through BNY Clearing Services, LLC (the “Account”) (acting for its own account Account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 2 contracts

Samples: Selling Agent Agreement (Prudential Financial Capital Trust Iii), Selling Agent Agreement (Prudential Financial Capital Trust Ii)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any public offering of securities ("Securities"), whether ) pursuant to a registration statement filed under the Securities Act of 1933, as amended 1933 (the "Securities Act"), or exempt from registration thereunderthereunder (other than a public offering of Securities effected wholly outside the United States of America), in respect of which Xxxxxxx Xxxxx Xxxxxx wherein ABN AMRO Financial Services, Inc. ("AAFS") (acting for its own account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected broker-dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 2 contracts

Samples: Selling Agent Agreement (Hancock John Life Insurance Co), Selling Agent Agreement (Hancock John Life Insurance Co)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any offering of securities ("Securities"), whether pursuant to a registration statement filed under the Securities Act of 1933, as amended (the "Securities Act"), or exempt from registration thereunder, in respect of which Xxxxxxx Xxxxx Xxxxxx Salomon Smith Barney Inc. (acting for its own account or for the account of any underwriting acxxxxx xx xxx uxxxxxxiting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 2 contracts

Samples: Master Selected Dealer Agreement (Ing Clarion Global Real Estate Income Fund), Master Selected Dealer Agreement (Van Kampen Senior Income Trust)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any offering of securities ("Securities"), whether pursuant to a registration statement filed under the Securities Act of 1933, as amended (the "Securities Act"), or exempt from registration thereunder, in respect of which Xxxxxxx Xxxxx Xxxxxx Salomon Smith Barney Inc. (acting for its own account or for the account of any underwriting axxxxxx xx xxx xxxxxxriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 2 contracts

Samples: Master Selected Dealer Agreement (Kayne Anderson Energy Total Return Fund, Inc.), Master Selected Dealer Agreement (Lazard Global Total Return & Income Fund Inc)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any public offering of securities ("Securities"), whether ”) pursuant to a registration statement filed under the Securities Act of 1933, as amended 1933 (the "Securities Act"), or exempt from registration thereunderthereunder (other than a public offering of Securities effected wholly outside the United States of America), in respect of which Xxxxxxx Xxxxx Xxxxxx wherein LaSalle Financial Services, Inc. (“LFS”) (acting for its own account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected broker-dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 2 contracts

Samples: Selling Agent Agreement (Abn Amro Bank Nv), Selling Agent Agreement (Tennessee Valley Authority)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any public offering of securities ("Securities"), whether pursuant to a registration statement filed under the Securities Act of 1933, as amended 1933 (the "Securities Act"), or exempt from registration thereunderthereunder (other than a public offering of Securities effected wholly outside the United States of America), in respect of which Xxxxxxx Xxxxx Xxxxxx Inc. wherein Incapital, LLC clearing through BNY Clearing Services, LLC (the "Account") (acting for its own account Account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 2 contracts

Samples: Selling Agent Agreement (Household Finance Corp), Selling Agent Agreement (Bank of America Corp /De/)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any public offering of securities ("Securities"), whether ) pursuant to a registration statement filed under the Securities Act of 1933, as amended 1933 (the "Securities Act"), or exempt from registration thereunderthereunder (other than a public offering of Securities effected wholly outside the United States of America), in respect of which Xxxxxxx Xxxxx Xxxxxx wherein RBS Securities Inc. ("RBSSI") (acting for its own account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected broker-dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 1 contract

Samples: Distribution Agreement (Royal Bank of Scotland Group PLC)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any public offering of securities ("Securities"), whether pursuant to a registration statement filed under the Securities Act of 1933, as amended (the "Securities Act"), or exempt from registration thereunderthereunder (other than a public offering of Securities effected wholly outside the United States of America), in respect of which Xxxxxxx Xxxxx Xxxxxx Inc. wherein J. W. Korth & Company (acting for its own xxx xxx xxx account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 1 contract

Samples: Distribution Agreement (CMS Energy Corp)

Applicability of this Agreement. The terms and conditions of this Agreement letter agreement (this “Agreement”) shall be applicable to any offering of securities ("Securities"), whether pursuant to a registration statement filed under the Securities Act of 1933, as amended (the "Securities Act"), or exempt from registration thereunder, in respect of which Bear Xxxxxxx Xxxxx Xxxxxx Inc. (acting for its own account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 1 contract

Samples: Distribution Agreement (Bear Stearns Companies Inc)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any public offering of securities ("Securities"), whether pursuant to a registration statement filed under the Securities Act of 1933, as amended 1933 (the "Securities Act"), or exempt from registration thereunderthereunder (other than a public offering of Securities effected wholly outside the United States of America), in respect of which Xxxxxxx Xxxxx Xxxxxx Inc. wherein Salomon Brothers Inc (acting for its own account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 1 contract

Samples: Continuous Underwriting Agreement (Salomon Smith Barney Holdings Inc)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any public offering of securities ("SecuritiesSECURITIES"), whether ) pursuant to a registration statement filed under the Securities Act of 1933, as amended 1933 (the "Securities ActSECURITIES ACT"), or exempt from registration thereunderthereunder (other than a public offering of Securities effected wholly outside the United States of America), in respect of which Xxxxxxx Xxxxx Xxxxxx wherein LaSalle Financial Services, Inc. ("AAFS") (acting for its own account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected broker-dealers ("Selected DealersSELECTED DEALERS") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "OfferingOFFERING". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("UnderwritersUNDERWRITERS"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 1 contract

Samples: Selling Agent Agreement (United Parcel Service Inc)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any public offering of securities ("SecuritiesSECURITIES"), whether ) pursuant to a registration statement filed under the Securities Act of 1933, as amended 1933 (the "Securities ActSECURITIES ACT"), ) or exempt from registration thereunderthereunder (other than a public offering of Securities effected wholly outside the United States of America), in respect of which Xxxxxxx Xxxxx Xxxxxx wherein LaSalle Financial Services, Inc. (acting for its own account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected broker-dealers ("Selected DealersSELECTED DEALERS") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "OfferingOFFERING". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("UnderwritersUNDERWRITERS"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 1 contract

Samples: Selling Agent Agreement (General Motors Acceptance Corp)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any offering of securities ("Securities"), whether pursuant to a registration statement filed under the Securities Act of 1933, as amended (the "Securities Act"), or exempt from registration thereunder, in respect of which Xxxxxxx Sxxxxxx Xxxxx Xxxxxx Bxxxxx Inc. (acting for its own account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 1 contract

Samples: Master Selected Dealer Agreement (Madison Strategic Sector Premium Fund)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any public offering of securities ("Securities"), whether pursuant to a registration statement filed under the Securities Act of 1933, as amended 1933 (the "Securities Act"), or exempt from registration thereunderthereunder (other than a public offering of Securities effected wholly outside the United States of America), in respect of which Xxxxxxx Xxxxx Xxxxxx Inc. wherein Incapital LLC clearing through Pershing, LLC (the “Account”) (acting for its own account Account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 1 contract

Samples: Selling Agent Agreement (HSBC Finance CORP)

Applicability of this Agreement. The terms and conditions conditio ns of this Agreement shall be applicable to any public offering of securities ("Securities"), whether pursuant to a registration statement filed under the Securities Act of 1933, as amended (the "Securities Act"), or exempt from registration thereunderthereunder (other than a public offering of Securities effected wholly outside the United States of America), in respect of which Xxxxxxx Xxxxx Xxxxxx Inc. wherein Incapital LLC clearing through BNY Clearing Services, LLC (the “Account”) (acting for its own account Account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit bene fit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 1 contract

Samples: Selling Agent Agreement (Bond Trust Products LLC)

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Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any offering of securities ("Securities"), whether pursuant to a registration statement filed under the Securities Act of 1933, as amended (the "Securities Act"), or exempt from registration thereunder, in respect of which Xxxxxxx Xxxxx Xxxxxx Inc. Salomon Smith Barney Inx. (acting for its own xxxxxx xxr xxx xwn account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 1 contract

Samples: Master Selected Dealer Agreement (Blackrock Florida Insured Municipal 2008 Term Trust)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any public offering of securities ("Securities"), whether pursuant to a registration statement filed under the Securities Act of 1933, as amended 1933 (the "Securities Act"), or exempt from registration thereunderthereunder (other than a public offering of Securities effected wholly outside the United States of America), in respect of which Xxxxxxx wherein J.W. Xxxxx Xxxxxx Inc. & Xompany (acting for its own account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 1 contract

Samples: Distribution Agreement (Swissjet)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any public offering of securities ("Securities"), whether pursuant to a registration statement filed under the Securities Act of 1933, as amended (the "Securities Act"), or exempt from registration thereunderthereunder (other than a public offering of Securities effected wholly outside the United States of America), in respect of which Xxxxxxx Xxxxx Xxxxxx Inc. wherein Incapital LLC clearing through BNY Clearing Services, LLC (the "Account") (acting for its own account Account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 1 contract

Samples: Selling Agent Agreement (Bank of America Corp /De/)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any offering of securities ("Securities"), whether pursuant to a registration statement filed under the Securities Act of 1933, as amended (the "Securities Act"), or exempt from registration thereunder, in respect of which Xxxxxxx Xxxxx Xxxxxx Salomon Smith Barney Inc. (acting for its own account or for the account of any underwriting accoxxx xx xxx xxdxxxxxxing or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 1 contract

Samples: Master Selected Dealer Agreement (Real Estate Income Fund Inc)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any public offering of securities ("SecuritiesSECURITIES"), whether pursuant to a registration statement filed under the Securities Act of 1933, as amended 1933 (the "Securities ActSECURITIES ACT"), or exempt from registration thereunderthereunder (other than a public offering of Securities effected wholly outside the United States of America), in respect of which Xxxxxxx Xxxxx Xxxxxx Inc. wherein ABN AMRO Incorporated (acting for its own account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected dealers ("Selected DealersSELECTED DEALERS") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "OfferingOFFERING". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("UnderwritersUNDERWRITERS"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 1 contract

Samples: Selling Agent Agreement (United Parcel Service Inc)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any public offering of securities ("Securities"), whether pursuant to a registration statement filed under the Securities Act of 1933, as amended (the "Securities Act"), or exempt from registration thereunderthereunder (other than a public offering of Securities effected wholly outside the United States of America), in respect of which Xxxxxxx Xxxxx Xxxxxx Inc. wherein Incapital LLC clearing through Pershing, LLC (the "Account") (acting for its own account Account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 1 contract

Samples: Selling Agent Agreement (Bank of America Corp /De/)

Applicability of this Agreement. The terms and conditions of this Agreement letter agreement (this "Agreement") shall be applicable to any offering of securities ("Securities"), whether pursuant to a registration statement filed under the Securities Act of 1933, as amended (the "Securities Act"), or exempt from registration thereunder, in respect of which Xxxxxxx Xxxxx Xxxxxx Inc. Bear Stearns (acting for its own account or for the account of any underwriting underwxxxxxx or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 1 contract

Samples: Distribution Agreement (Bear Stearns Companies Inc)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any public offering of securities ("Securities"), whether pursuant to a registration statement filed under the Securities Act of 1933, as amended 1933 (the "Securities Act"), or exempt from registration thereunderthereunder (other than a public offering of Securities effected wholly outside the United States of America), in respect of which Xxxxxxx Xxxxx Xxxxxx Inc. wherein InCapital, LLC clearing through BNY Clearing Services, LLC (the "Account") (acting for its own account Account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 1 contract

Samples: Selling Agent Agreement (Bank of America Corp /De/)

Applicability of this Agreement. The terms and conditions of this ------------------------------- Agreement shall be applicable to any public offering of securities ("Securities"), whether pursuant to a registration statement filed under the Securities Act of 1933, as amended 1933 (the "Securities Act"), or exempt from registration thereunderthereunder (other than a public offering of Securities effected wholly outside the United States of America), in respect of which Xxxxxxx Xxxxx Xxxxxx Inc. wherein ([Agent Name]) (acting for its own account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 1 contract

Samples: Selling Agent Agreement (Caterpillar Financial Services Corp)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any public offering of securities ("Securities"), whether pursuant to a registration statement filed under the Securities Act of 1933, as amended 1933 (the "Securities 1933 Act"), or exempt from registration thereunderthereunder (other than a public offering of Securities effected wholly outside the United States of America), in respect of which Xxxxxxx Xxxxx Xxxxxx Inc. wherein Incapital LLC clearing through Pershing, LLC (the "Account") (acting for its own account Account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 1 contract

Samples: Selling Agent Agreement (Cit Group Inc)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any public offering of securities ("Securities"), whether pursuant to a registration statement filed under the Securities Act of 1933, as amended 1933 (the "Securities 1933 Act"), or exempt from registration thereunderthereunder (other than a public offering of Securities effected wholly outside the United States of America), in respect of which wherein X.X. Xxxxxxx Xxxxx Xxxxxx & Sons, Inc. (acting for its own account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 1 contract

Samples: Selling Agent Agreement (Marshall & Ilsley Corp/Wi/)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any public offering of securities ("SecuritiesSECURITIES"), whether ) pursuant to a registration statement filed under the Securities Act of 1933, as amended 1933 (the "Securities ActSECURITIES ACT"), ) or exempt from registration thereunderthereunder (other than a public offering of Securities effected wholly outside the United States of America), in respect of which Xxxxxxx Xxxxx Xxxxxx wherein ABN AMRO Financial Services, Inc. (acting for its own account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected broker-dealers ("Selected DealersSELECTED DEALERS") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "OfferingOFFERING". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("UnderwritersUNDERWRITERS"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 1 contract

Samples: Selling Agent Agreement (General Motors Acceptance Corp)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any public offering of securities ("Securities"), whether pursuant to a registration statement filed under the Securities Act of 1933, as amended 1933 (the "Securities 1933 Act"), or exempt from registration thereunderthereunder (other than a public offering of Securities effected wholly outside the United States of America), in respect of which Xxxxxxx Xxxxx Xxxxxx Inc. wherein Incapital LLC clearing through BNY Clearing Services, LLC (the "Account") (acting for its own account Account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 1 contract

Samples: Selling Agent Agreement (Cit Group Inc)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any public offering of securities ("Securities"), whether pursuant to a registration statement filed under the Securities Act of 1933, as amended 1933 (the "Securities Act"), or exempt from registration thereunderthereunder (other than a public offering of Securities effected wholly outside the United States of America), in respect of which Xxxxxxx Xxxxx Xxxxxx Inc. wherein the Purchasing Agent clearing through BNY Clearing Services, LLC (the “Account”) (acting for its own account Account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected dealers ("the Selected Dealers") Dealers and has expressly informed you the Selected Dealers that such terms and conditions shall be applicable. Any such offering of Securities to you as a the Selected Dealer Dealers is hereinafter called an "Offering". In the case of any Offering where we are the Purchasing Agent is acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are the Purchasing Agent is acting with others as representatives of Underwriters, such other representatives.

Appears in 1 contract

Samples: Selling Agent Agreement (Prudential Financial Inc)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any public offering of securities ("Securities"), whether ”) pursuant to a registration statement filed under the Securities Act of 1933, as amended 1933 (the "Securities Act"), ”) or exempt from registration thereunderthereunder (other than a public offering of Securities effected wholly outside the United States of America), in respect of which Xxxxxxx Xxxxx Xxxxxx wherein LaSalle Financial Services, Inc. (acting for its own account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected broker-dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 1 contract

Samples: Selling Agent Agreement (Gmac LLC)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any public offering of securities ("Securities"), whether pursuant to a registration statement filed under the Securities Act of 1933, as amended (the "Securities Act"), or exempt from registration thereunderthereunder (other than a public offering of Securities effected wholly outside the United States of America), in respect of which Xxxxxxx wherein J. W. Xxxxx Xxxxxx Inc. & Xompany (acting for its own account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 1 contract

Samples: Distribution Agreement (CMS Energy Corp)

Applicability of this Agreement. The terms and conditions of this Agreement shall be applicable to any public offering of securities ("Securities"), whether pursuant to a registration statement filed under the Securities Act of 1933, as amended 1933 (the "Securities Act"), or exempt from registration thereunderthereunder (other than a public offering of Securities effected wholly outside the United States of America), in respect of which Xxxxxxx Xxxxx Xxxxxx Inc. wherein (ABN AMRO Incorporated) (acting for its own account or for the account of any underwriting or similar group or syndicate) is responsible for managing or otherwise implementing the sale of the Securities to selected dealers ("Selected Dealers") and has expressly informed you that such terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering". In the case of any Offering where we are acting for the account of any underwriting or similar group or syndicate ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives.

Appears in 1 contract

Samples: Selling Agent Agreement (General Motors Acceptance Corp)

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