Common Contracts
4 similar Subordinated Loan Agreement contracts by Investors Capital Holdings LTD
SUBORDINATED LOAN AGREEMENTSubordinated Loan Agreement • September 23rd, 2020
(the “Lender”) and (the “Broker/Dealer”). This Agreement shall not be effective or deemed to constitute a satisfactory subordination agreement under Appendix D to Rule 15c3-1 under the Securities Exchange Act of 1934, as amended (the “Act” or “SEA”), unless and until the Financial Industry Regulatory Authority (“FINRA”) has found the Agreement acceptable as to form and content.
SUBORDINATED LOAN AGREEMENTSubordinated Loan Agreement • September 17th, 2020
(the “Lender”) and (the “Broker/Dealer”). This Agreement shall not be effective or deemed to constitute a satisfactory subordination agreement under Appendix D to Rule 15c3-1 under the Securities Exchange Act of 1934, as amended (the “Act” or “SEA”), unless and until the Financial Industry Regulatory Authority (“FINRA”) has found the Agreement acceptable as to form and content.
TEMPORARY SUBORDINATED LOAN AGREEMENTSubordinated Loan Agreement • September 17th, 2020
(the “Lender”) and (the “Broker/Dealer”). This Agreement shall not be effective or deemed to constitute a satisfactory subordination agreement under Appendix D to Rule 15c3-1 under the Securities Exchange Act of 1934, as amended (the “Act” or “SEA”), unless and until the Financial Industry Regulatory Authority (“FINRA”) has found the Agreement acceptable as to form and content.
SUBORDINATED LOAN AGREEMENTSubordinated Loan Agreement • June 20th, 2013 • Investors Capital Holdings LTD • Investors, nec • New York
Pershing LLC (the “Lender”) and Investors Capital Corporation (the “Broker/Dealer”). This Agreement shall not be effective or deemed to constitute a satisfactory subordination agreement under Appendix D to Rule 15c3-1 under the Securities Exchange Act of 1934, as amended (the “Act” or “SEA”), unless and until the Financial Industry Regulatory Authority (“FINRA”) has found the Agreement acceptable as to form and content.
