PURCHASE AGREEMENT between BANK ONE CORPORATION, as Seller, and RAYMOND JAMES FINANCIAL, INC., as Buyer April 14, 1999 PURCHASE AGREEMENT TABLE OF CONTENTSPurchase Agreement • May 7th, 1999 • Raymond James Financial Inc • Security brokers, dealers & flotation companies • Delaware
Contract Type FiledMay 7th, 1999 Company Industry Jurisdiction
AMENDMENT NO. 2 TO REVOLVING CREDIT AGREEMENT This AMENDMENT NO. 2 TO REVOLVING CREDIT AGREEMENT ("Amendment No. 2") is dated as of October 24, 2000 by and among RAYMOND JAMES FINANCIAL, INC., a Florida corporation (the "Borrower"), the Lenders named...Revolving Credit Agreement • December 22nd, 2000 • Raymond James Financial Inc • Security brokers, dealers & flotation companies
Contract Type FiledDecember 22nd, 2000 Company Industry
EXHIBIT 10.4 This letter agreement sets out the terms under which we have agreed that you will serve as Corporate Secretary and Senior Vice President of Raymond James Financial, Inc. (the Company). 1. EFFECTIVE DATE: TERM OF AGREEMENT. This agreement...Letter Agreement • December 23rd, 1996 • Raymond James Financial Inc • Security brokers, dealers & flotation companies
Contract Type FiledDecember 23rd, 1996 Company Industry
569053.5 [Execution] REVOLVING CREDIT AGREEMENT Dated as of October 26, 1999Revolving Credit Agreement • December 22nd, 1999 • Raymond James Financial Inc • Security brokers, dealers & flotation companies • New York
Contract Type FiledDecember 22nd, 1999 Company Industry Jurisdiction
LIBERTY - RJF TERMINATION AND RELEASE AGREEMENTTermination and Release Agreement • December 23rd, 1996 • Raymond James Financial Inc • Security brokers, dealers & flotation companies • Florida
Contract Type FiledDecember 23rd, 1996 Company Industry Jurisdiction
Execution] TERM CREDIT AGREEMENT Dated as of October 26, 1999Term Credit Agreement • December 22nd, 1999 • Raymond James Financial Inc • Security brokers, dealers & flotation companies • New York
Contract Type FiledDecember 22nd, 1999 Company Industry Jurisdiction
TRISTATE CAPITAL HOLDINGS, INC. 6.75% FIXED-TO-FLOATING RATE SERIES A NON- CUMULATIVE PERPETUAL PREFERRED STOCK DEPOSIT AGREEMENT among TRISTATE CAPITAL HOLDINGS, INC., COMPUTERSHARE INC., and COMPUTERSHARE TRUST COMPANY, N.A., and THE HOLDERS FROM...Deposit Agreement • May 31st, 2022 • Raymond James Financial Inc • Security brokers, dealers & flotation companies • New York
Contract Type FiledMay 31st, 2022 Company Industry JurisdictionTHIS DEPOSIT AGREEMENT dated as of March 20, 2018, among (i) TRISTATE CAPITAL HOLDINGS, INC., a Pennsylvania corporation and its successors (the “Corporation”), (ii) COMPUTERSHARE INC., a Delaware corporation (“Computershare”), and COMPUTERSHARE TRUST COMPANY, N.A., a federally chartered trust company and the wholly-owned subsidiary of Computershare (the “Trust Company”), and (iii) the Holders (as defined herein) from time to time of the Receipts (as defined herein) described in this Agreement.
1 Exhibit 10 ARRANGEMENT AGREEMENTArrangement Agreement • December 14th, 2000 • Raymond James Financial Inc • Security brokers, dealers & flotation companies • Ontario
Contract Type FiledDecember 14th, 2000 Company Industry Jurisdiction
FORM OF RSU AWARD NOTICE AND AGREEMENT FOR GRANT OF SPECIAL RETENTION AWARD (TIME-BASED VESTING) FOR MR. PAUL C. REILLY] RAYMOND JAMES FINANCIAL, INC. AMENDED AND RESTATED 2012 STOCK INCENTIVE PLAN NOTICE OF RESTRICTED STOCK UNIT AWARDRestricted Stock Unit Agreement • December 19th, 2022 • Raymond James Financial Inc • Security brokers, dealers & flotation companies
Contract Type FiledDecember 19th, 2022 Company IndustryYou (the “Grantee”) have been granted an award of Restricted Stock Units (the “Award”), subject to the terms and conditions of this Notice of Restricted Stock Unit Award (the “Notice”), the Raymond James Financial, Inc. Amended and Restated 2012 Stock Incentive Plan, as amended from time to time (the “Plan”) and the Restricted Stock Unit Agreement (the “Agreement”) attached hereto, as follows. Unless otherwise provided herein, the terms in this Notice shall have the same meaning as those defined in the Plan.
CREDIT AGREEMENT Dated as of February 6, 2009 among RAYMOND JAMES FINANCIAL, INC., as Borrower, THE LENDERS NAMED HEREIN, JPMORGAN CHASE BANK, NATIONAL ASSOCIATION, as Administrative Agent, REGIONS BANK, as Co-Syndication Agent FIFTH THIRD BANK, as...Credit Agreement • February 9th, 2009 • Raymond James Financial Inc • Security brokers, dealers & flotation companies • New York
Contract Type FiledFebruary 9th, 2009 Company Industry JurisdictionFacility Assigned Aggregate Amount of Commitment/Loans for all Lenders Amount of Commitment/Loans Assigned Percentage Assigned of Commitment/Loans1
CREDIT AGREEMENT Dated as of August 6, 2015 amongCredit Agreement • August 10th, 2015 • Raymond James Financial Inc • Security brokers, dealers & flotation companies • New York
Contract Type FiledAugust 10th, 2015 Company Industry JurisdictionThis CREDIT AGREEMENT is entered into as of August 6, 2015 among RAYMOND JAMES FINANCIAL, INC., a Florida corporation (the “Borrower”), the Lenders (defined herein), the Swing Line Lenders (defined herein) and BANK OF AMERICA, N.A., as Administrative Agent.
RAYMOND JAMES FINANCIAL, INC., as Issuer and The Bank of New York Mellon Trust Company, N.A., as Trustee INDENTURE Dated as of August 10, 2009 Senior Debt SecuritiesIndenture • August 10th, 2009 • Raymond James Financial Inc • Security brokers, dealers & flotation companies • New York
Contract Type FiledAugust 10th, 2009 Company Industry JurisdictionProvisions of Sections 310 through 318 of the Trust Indenture Act of 1939, as amended, and the within Indenture between Raymond James Financial, Inc. and The Bank of New York Mellon Trust Company, N.A., Trustee:
FORM OF REGISTERED SENIOR NOTE]Raymond James Financial Inc • May 18th, 2018 • Security brokers, dealers & flotation companies • New York
Company FiledMay 18th, 2018 Industry JurisdictionTHIS NOTE IS A GLOBAL SECURITY WITHIN THE MEANING OF THE INDENTURE HEREINAFTER REFERRED TO AND IS REGISTERED IN THE NAME OF A DEPOSITORY OR A NOMINEE OF A DEPOSITORY. THIS NOTE IS NOT EXCHANGEABLE FOR NOTES REGISTERED IN THE NAME OF A PERSON OTHER THAN THE DEPOSITORY OR ITS NOMINEE. EXCEPT IN THE LIMITED CIRCUMSTANCES DESCRIBED IN THE INDENTURE, NO TRANSFER OF THIS NOTE (OTHER THAN A TRANSFER OF THIS NOTE AS A WHOLE BY THE DEPOSITORY TO A NOMINEE OF THE DEPOSITORY OR BY A NOMINEE OF THE DEPOSITORY TO THE DEPOSITORY OR ANOTHER NOMINEE OF THE DEPOSITORY) MAY BE REGISTERED EXCEPT IN THE LIMITED CIRCUMSTANCES DESCRIBED IN THE INDENTURE.
RAYMOND JAMES FINANCIAL, INC. UNDERWRITING AGREEMENTRaymond James Financial Inc • April 2nd, 2021 • Security brokers, dealers & flotation companies • New York
Company FiledApril 2nd, 2021 Industry JurisdictionRaymond James Financial, Inc., a Florida corporation (the “Company”), proposes to issue and sell to the underwriters named in Schedule II hereto (the “Underwriters”), for whom you are acting as representatives (the “Representatives”), the principal amount of its securities identified in Schedule I hereto (the “Securities”). The Securities will be issued under an indenture dated as of August 10, 2009 (as amended or supplemented from time to time, the “Indenture”) between the Company and The Bank of New York Mellon Trust Co., N.A., as trustee (the “Trustee”). The Securities are described more fully in the Prospectus, referred to below. If the firm or firms listed in Schedule II hereto include only the firm or firms listed in Schedule I hereto, then the terms “Underwriters” and “Representatives,” as used herein, each shall be deemed to refer to such firm or firms.
RAYMOND JAMES FINANCIAL, INC. UNDERWRITING AGREEMENT 10,500,000 SHARES OF COMMON STOCKUnderwriting Agreement • February 21st, 2012 • Raymond James Financial Inc • Security brokers, dealers & flotation companies • New York
Contract Type FiledFebruary 21st, 2012 Company Industry JurisdictionRaymond James Financial, Inc., a Florida corporation (the “Company”), proposes to issue and sell to the underwriters named in Schedule II hereto (the “Underwriters”), for whom you are acting as representatives (the “Representatives”), 9,500,000 shares (the “Company Shares”) of its common stock, par value $0.01 per share (the “Common Stock”), and certain stockholders of the Company named in Schedule III hereto (the “Selling Stockholders”) propose to sell to the Underwriters 1,000,000 shares (the “Selling Stockholder Shares,” and together with the Company Shares, the “Firm Shares”) of Common Stock. In addition, the Company proposes to grant to the Underwriters an option to purchase from the Company up to an aggregate of 1,575,000 additional shares of Common Stock (the “Option Shares”). The Firm Shares and the Option Shares are herein referred to as the “Shares”. Such Shares are to be sold to each Underwriter, acting severally and not jointly, in such amounts as are listed in Schedule II
BRIDGE CREDIT AGREEMENT dated as of February 16, 2012, among RAYMOND JAMES FINANCIAL, INC., The LENDERS Party Hereto, JPMORGAN CHASE BANK, N.A., as Administrative Agent, CITIBANK, N.A., as Syndication Agent, and as Sole Lead Arranger and Sole BookrunnerBridge Credit Agreement • February 21st, 2012 • Raymond James Financial Inc • Security brokers, dealers & flotation companies • New York
Contract Type FiledFebruary 21st, 2012 Company Industry JurisdictionBRIDGE CREDIT AGREEMENT dated as of February 16, 2012, among RAYMOND JAMES FINANCIAL, INC.; the LENDERS party hereto; JPMORGAN CHASE BANK, N.A., as Administrative Agent; CITIBANK, N.A., as Syndication Agent; and J.P. Morgan Securities LLC, as sole lead arranger and sole bookrunner.
REGISTERED SENIOR NOTERegistered Senior Note • May 10th, 2017 • Raymond James Financial Inc • Security brokers, dealers & flotation companies • New York
Contract Type FiledMay 10th, 2017 Company Industry JurisdictionTHIS NOTE IS A GLOBAL SECURITY WITHIN THE MEANING OF THE INDENTURE HEREINAFTER REFERRED TO AND IS REGISTERED IN THE NAME OF A DEPOSITORY OR A NOMINEE OF A DEPOSITORY. THIS NOTE IS NOT EXCHANGEABLE FOR NOTES REGISTERED IN THE NAME OF A PERSON OTHER THAN THE DEPOSITORY OR ITS NOMINEE. EXCEPT IN THE LIMITED CIRCUMSTANCES DESCRIBED IN THE INDENTURE, NO TRANSFER OF THIS NOTE (OTHER THAN A TRANSFER OF THIS NOTE AS A WHOLE BY THE DEPOSITORY TO A NOMINEE OF THE DEPOSITORY OR BY A NOMINEE OF THE DEPOSITORY TO THE DEPOSITORY OR ANOTHER NOMINEE OF THE DEPOSITORY) MAY BE REGISTERED EXCEPT IN THE LIMITED CIRCUMSTANCES DESCRIBED IN THE INDENTURE.
TRISTATE CAPITAL HOLDINGS, INC. OMNIBUS INCENTIVE PLAN Restricted Stock Grant AgreementRaymond James Financial Inc • June 1st, 2022 • Security brokers, dealers & flotation companies • Pennsylvania
Company FiledJune 1st, 2022 Industry Jurisdiction
STOCK PURCHASE AGREEMENT between REGIONS FINANCIAL CORPORATION and RAYMOND JAMES FINANCIAL, INC. Dated January 11, 2012Stock Purchase Agreement • January 12th, 2012 • Raymond James Financial Inc • Security brokers, dealers & flotation companies • New York
Contract Type FiledJanuary 12th, 2012 Company Industry JurisdictionSTOCK PURCHASE AGREEMENT, dated January 11, 2012 (this “Agreement”), between Regions Financial Corporation, a Delaware corporation (“Seller”), and Raymond James Financial, Inc., a Florida corporation (“Purchaser”).
RAYMOND JAMES FINANCIAL, INC. UNDERWRITING AGREEMENTRaymond James Financial Inc • March 7th, 2012 • Security brokers, dealers & flotation companies • New York
Company FiledMarch 7th, 2012 Industry JurisdictionRaymond James Financial, Inc., a Florida corporation (the “Company”), proposes to issue and sell to the underwriters named in Schedule II hereto (the “Underwriters”), for whom you are acting as representatives (the “Representatives”), $350,000,000 aggregate principal amount of its 6.90% Senior Notes due 2042 (the “Firm Securities”) and, at the option of the Underwriters, up to an additional $52,500,000 aggregate principal amount of its 6.90% Senior Notes due 2042 (the “Option Securities”) to cover overallotments, if any, pursuant to Section 2 hereof. The Firm Securities and the Option Securities are herein referred to as the “Securities.” The Securities will be issued under an indenture dated as of August 10, 2009 (as amended or supplemented from time to time, the “Indenture”) between the Company and The Bank of New York Mellon Trust Co., N.A., as trustee (the “Trustee”). The Securities are described more fully in the Prospectus, referred to below. If the firm or firms listed in Schedu
EXECUTION VERSION THIRD AMENDMENT TO CREDIT AGREEMENT THIS THIRD AMENDMENT TO CREDIT AGREEMENT (this “Agreement”), dated as April 19, 2021 (the “Third Amendment Effective Date”), is entered into among Raymond James Financial, Inc., a Florida...Credit Agreement • April 22nd, 2021 • Raymond James Financial Inc • Security brokers, dealers & flotation companies • New York
Contract Type FiledApril 22nd, 2021 Company Industry Jurisdiction
DIRECTOR AND OFFICER INDEMNIFICATION AGREEMENTDirector and Officer Indemnification Agreement • March 6th, 2019 • Raymond James Financial Inc • Security brokers, dealers & flotation companies • Florida
Contract Type FiledMarch 6th, 2019 Company Industry JurisdictionTHIS AGREEMENT, dated as of the ____ day of ______, _____, is by and between Raymond James Financial, Inc., a Florida corporation (the “Company”), and _____________________ (the “Indemnitee”).
FIRST AMENDMENT TO DEPOSIT AGREEMENTDeposit Agreement • May 31st, 2022 • Raymond James Financial Inc • Security brokers, dealers & flotation companies • New York
Contract Type FiledMay 31st, 2022 Company Industry JurisdictionTHIS FIRST AMENDMENT TO DEPOSIT AGREEMENT (this “Amendment”), dated as of June 1, 2022, the (the “Effective Date”), by and among (i) Raymond James Financial, Inc., a Florida corporation (“Raymond James”), (ii) TriState Capital Holdings, Inc., a Pennsylvania corporation (“TriState Capital”) and (iii) Computershare Inc., a Delaware corporation (“Computershare”), and its wholly owned subsidiary, Computershare Trust Company, N.A., a federally chartered national association (the “Trust Company”), jointly as Depositary (the “Depositary”).
SUPPORT AGREEMENTSupport Agreement • October 26th, 2021 • Raymond James Financial Inc • Security brokers, dealers & flotation companies • Delaware
Contract Type FiledOctober 26th, 2021 Company Industry JurisdictionSUPPORT AGREEMENT (this “Agreement”), dated October 20, 2021, by and among the entity executing this Agreement as “Shareholder” on the signature pages hereto (the “Shareholder”), Raymond James Financial, Inc., a Florida corporation (“Purchaser”), Macaroon One LLC, a Florida limited liability company and direct, wholly-owned Subsidiary of Purchaser (“Merger Sub 1”) and, solely for purposes of the last sentence of Section 9 and Section 10(c), TriState Capital Holdings, Inc., a Pennsylvania corporation (the “Company”). All capitalized terms used herein and not defined herein shall have the meanings assigned thereto in the Merger Agreement (defined below).
RESTRICTED STOCK PLAN AMENDMENT TO RESTRICTED STOCK GRANT AGREEMENTSRaymond James Financial Inc • November 30th, 2010 • Security brokers, dealers & flotation companies • Florida
Company FiledNovember 30th, 2010 Industry JurisdictionThis Amendment (the “Amendment”) has been made this [INSERT DATE] by and between Raymond James Financial, Inc. (the “Company”) and [INSERT NAME] the “Employee”).
RAYMOND JAMES FINANCIAL, INC. UNDERWRITING AGREEMENTRaymond James Financial Inc • March 31st, 2020 • Security brokers, dealers & flotation companies • New York
Company FiledMarch 31st, 2020 Industry JurisdictionRaymond James Financial, Inc., a Florida corporation (the “Company”), proposes to issue and sell to the underwriters named in Schedule II hereto (the “Underwriters”), for whom you are acting as representatives (the “Representatives”), the principal amount of its securities identified in Schedule I hereto (the “Securities”). The Securities will be issued under an indenture dated as of August 10, 2009 (as amended or supplemented from time to time, the “Indenture”) between the Company and The Bank of New York Mellon Trust Co., N.A., as trustee (the “Trustee”). The Securities are described more fully in the Prospectus, referred to below. If the firm or firms listed in Schedule II hereto include only the firm or firms listed in Schedule I hereto, then the terms “Underwriters” and “Representatives,” as used herein, each shall be deemed to refer to such firm or firms.
FORM OF REGISTERED SENIOR NOTERaymond James Financial Inc • April 11th, 2011 • Security brokers, dealers & flotation companies • New York
Company FiledApril 11th, 2011 Industry JurisdictionTHIS NOTE IS A GLOBAL SECURITY WITHIN THE MEANING OF THE INDENTURE HEREINAFTER REFERRED TO AND IS REGISTERED IN THE NAME OF A DEPOSITORY OR A NOMINEE OF A DEPOSITORY. THIS NOTE IS NOT EXCHANGEABLE FOR NOTES REGISTERED IN THE NAME OF A PERSON OTHER THAN THE DEPOSITORY OR ITS NOMINEE. EXCEPT IN THE LIMITED CIRCUMSTANCES DESCRIBED IN THE INDENTURE, NO TRANSFER OF THIS NOTE (OTHER THAN A TRANSFER OF THIS NOTE AS A WHOLE BY THE DEPOSITORY TO A NOMINEE OF THE DEPOSITORY OR BY A NOMINEE OF THE DEPOSITORY TO THE DEPOSITORY OR ANOTHER NOMINEE OF THE DEPOSITORY) MAY BE REGISTERED EXCEPT IN THE LIMITED CIRCUMSTANCES DESCRIBED IN THE INDENTURE.
STOCK PURCHASE AGREEMENTStock Purchase Agreement • September 20th, 2007 • Raymond James Financial Inc • Security brokers, dealers & flotation companies • Florida
Contract Type FiledSeptember 20th, 2007 Company Industry JurisdictionTHIS STOCK PURCHASE AGREEMENT (this “Agreement”), dated as of September 12, 2007, is by and among SIRCHIE ACQUISITION COMPANY, LLC, a Delaware limited liability company (the “Buyer”), SIRCHIE FINGER PRINT LABORATORIES, INC., a New Jersey corporation (“Sirchie”), and JOHN CARRINGTON, an individual residing in the State of North Carolina (“Carrington” and, together with Sirchie, the “Sellers” and each, individually, a “Seller”).
ACKNOWLEDGMENT, WAIVER, AND AMENDMENT AGREEMENTWaiver, and Amendment Agreement • August 8th, 2012 • Raymond James Financial Inc • Security brokers, dealers & flotation companies
Contract Type FiledAugust 8th, 2012 Company IndustryThis Acknowledgment, Waiver, and Amendment Agreement (this "Agreement") is entered into as of May 16, 2012, by REGIONS BANK, an Alabama banking corporation ("Lender"); RAYMOND JAMES INVESTMENTS, LLC, a Florida limited liability company ("RJI"); RJ SECURITIES, INC., a Florida corporation ("RJS"); RJC FORENSICS, LLC, a Delaware limited liability company ("Forensics"); RJC EVENT PHOTOS, LLC, a Delaware limited liability company ("Photos"); and MORGAN PROPERTIES, LLC, a Tennessee limited liability company ("Properties"; RJI, RJS, Forensics, Photos, and Properties are referred to collectively as "Borrowers").
RAYMOND JAMES FINANCIAL, INC. AMENDMENT TO EMPLOYMENT AGREEMENTEmployment Agreement • December 4th, 2013 • Raymond James Financial Inc • Security brokers, dealers & flotation companies • Delaware
Contract Type FiledDecember 4th, 2013 Company Industry JurisdictionTHIS AMENDMENT TO EMPLOYMENT AGREEMENT, dated as of December 2, 2013 (this “Amendment”), is entered into by and between Raymond James Financial, Inc. (“Employer”) and John Carson (“Employee”). Employer and Employee are sometimes referred to herein as the “Parties”.
FORM OF RSU AWARD NOTICE AND AGREEMENT FOR GRANT OF SPECIAL RETENTION AWARD (PERFORMANCE-BASED VESTING WITH RTSR) FOR MR. PAUL C. REILLY] RAYMOND JAMES FINANCIAL, INC. AMENDED AND RESTATED 2012 STOCK INCENTIVE PLAN NOTICE OF PERFORMANCE BASED...Notice and Agreement • December 19th, 2022 • Raymond James Financial Inc • Security brokers, dealers & flotation companies
Contract Type FiledDecember 19th, 2022 Company IndustryYou (the “Grantee” or “you”) have been granted an award of Restricted Stock Units (the “Award”), subject to the terms and conditions of this Notice of Performance Based Restricted Stock Unit Award (the “Notice”), the Raymond James Financial, Inc. Amended and Restated 2012 Stock Incentive Plan, as amended from time to time (the “Plan”) and the Restricted Stock Unit Agreement (the “Agreement”) attached hereto, as follows. Unless otherwise provided herein, the terms in this Notice shall have the same meaning as those defined in the Plan.
SECOND AMENDMENT TO CREDIT AGREEMENTCredit Agreement • May 5th, 2017 • Raymond James Financial Inc • Security brokers, dealers & flotation companies • New York
Contract Type FiledMay 5th, 2017 Company Industry JurisdictionTHIS SECOND AMENDMENT TO CREDIT AGREEMENT (this “Agreement”), dated as of May 5, 2017, is entered into among Raymond James Financial, Inc., a Florida corporation (the “Borrower”), the Lenders party hereto and Bank of America, N.A., as Administrative Agent. All capitalized terms used herein and not otherwise defined herein shall have the meanings given to such terms in the Credit Agreement (as defined below).
THIRD SUPPLEMENTAL INDENTURE between RAYMOND JAMES FINANCIAL, INC. and THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. Dated as of March 7, 2012Third Supplemental Indenture • March 7th, 2012 • Raymond James Financial Inc • Security brokers, dealers & flotation companies • New York
Contract Type FiledMarch 7th, 2012 Company Industry JurisdictionTHIS THIRD SUPPLEMENTAL INDENTURE, dated as of March 7, 2012 (this “Third Supplemental Indenture”), between RAYMOND JAMES FINANCIAL, INC., a Florida corporation (the “Company”), and The Bank of New York Mellon Trust Company, N.A., as trustee (the “Trustee”), under an Indenture dated as of August 10, 2009, between the Company and the Trustee (the “Indenture”).
SEVENTH SUPPLEMENTAL INDENTURE between RAYMOND JAMES FINANCIAL, INC. and THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. Dated as of March 31, 2020Raymond James Financial Inc • March 31st, 2020 • Security brokers, dealers & flotation companies • New York
Company FiledMarch 31st, 2020 Industry JurisdictionTHIS SEVENTH SUPPLEMENTAL INDENTURE, dated as of March 31, 2020 (this “Seventh Supplemental Indenture”), between RAYMOND JAMES FINANCIAL, INC., a Florida corporation (the “Company”), and The Bank of New York Mellon Trust Company, N.A., as trustee (the “Trustee”), under an Indenture dated as of August 10, 2009, between the Company and the Trustee (the “Indenture”).
ADMINISTRATIVE CONSENT AGREEMENT TO FINAL ORDERRaymond James Financial Inc • August 9th, 2011 • Security brokers, dealers & flotation companies
Company FiledAugust 9th, 2011 IndustryOn the basis of the Findings of Fact, Conclusions of Law, and Respondents’ consent to the entry of this Order and a Final Order approving same, without admitting or denying the facts or conclusions herein,