0001562762-13-000179 Sample Contracts
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.
Standard Contracts
RIDER A TO FINRA FORM SL-31D SUBORDINATED LOAN AGREEMENTSubordinated Loan Agreement • June 20th, 2013 • Investors Capital Holdings LTD • Investors, nec
Rider ( “Rider”) to the Subordinated Loan Agreement (“Form 31D”, and including this Rider, as amended, restated, supplemented or otherwise modified from time to time, the “Loan Agreement”), dated as of March 8, 2013, by and between Investors Capital Corporation, a Massachusetts corporation (the “Broker/Dealer”), and Pershing LLC, a Delaware limited liability company (the “Lender”). Capitalized terms used herein that are defined in Form 31D, but not otherwise defined herein, shall have the meanings therein defined.