INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • April 22nd, 2011 • Nuveen Short Duration Credit Opportunities Fund • Illinois
AGREEMENT made as of this 17th day of March, 2011 by and between Nuveen Fund Advisors, Inc., a Delaware corporation and a registered investment adviser (“Manager”), and Symphony Asset Management LLC, a California limited liability company and a federally registered investment adviser (“Sub-Adviser”).
MASTER AGREEMENT AMONG UNDERWRITERSMaster Agreement Among Underwriters • April 22nd, 2011 • Nuveen Short Duration Credit Opportunities Fund • New York
We hereby agree that this Master Agreement Among Underwriters (this “Agreement”) will apply to our participation in offerings of securities where you act as Manager or one of the Managers of the underwriting syndicate (including offerings subject to competitive bidding where you act as Representative of a group of bidders or purchasers). The issuer of the securities is referred to as the “Company”, the seller of any such securities other than the Company is referred to as the “Seller” and such securities are referred to as the “Securities”.
MASTER SELECTED DEALER AGREEMENTMaster Selected Dealer Agreement • April 22nd, 2011 • Nuveen Short Duration Credit Opportunities Fund • New York
be subject to delivery of the Securities and their acceptance by you and any other Underwriters, may be subject to the approval of all legal matters by counsel and the satisfaction of other conditions, and may be made on the basis of reservation of Securities or an allotment against subscription. You will advise us by telegram, telex or other form of writ ten communication (“Written Communication”) of the particular method and supplementary terms and conditions (including, without limitation, the information as to prices and offering date referred to in Section 3(b)) of any Offering in which we are invited to participate. To the extent such supplementary terms and conditions are inconsistent with any provision herein, such terms and conditions shall supersede any such provision. Unless otherwise indicated in any such Written Communication, acceptances and other communications by us with respect to any Offering should be sent to UBS Securities LLC, 299 Park Avenue, New York, New York 10
