FORM N-4, ITEM 24(b)(8.38) FORM OF BROKER-DEALER AGREEMENT BETWEEN BLACKROCK INVESTMENTS, INC. & ONEAMERICA SECURITIES, INC. ------------------------------- ------------------------------------------------- Broker-Dealer...Broker-Dealer Agreement • April 20th, 2009 • Aul American Unit Trust • Delaware
Broker-Dealer AgreementBroker-Dealer Agreement • March 7th, 2023 • Ysmd, LLC • Real estate
This agreement (together with exhibits and schedules, the “Agreement”) is entered into by and between YSMD, LLC (“Client”), a California Corporation, and Dalmore Group, LLC., a New York Limited Liability Company (“Dalmore”). Client and Dalmore agree to be bound by the terms of this Agreement, effective as of November 8, 2021 (the “Effective Date”):
Broker-Dealer AgreementBroker-Dealer Agreement • October 21st, 2024 • RoyaltyTraders LLC • Services-computer processing & data preparation
This agreement (together with exhibits and schedules, the “Agreement”) is entered into by and between RoyaltyTraders LLC (“Client”), and Dalmore Group, LLC., a Delaware Limited Liability Company (“Dalmore”). Client and Dalmore agree to be bound by the terms of this Agreement, effective as 10-14-2024 (the “Effective Date”):
RAFFERTY CAPITAL MARKETS, LLC 59 Hilton Avenue - Suite 101 Garden City, NY 11530 BROKER-DEALER AGREEMENT This Agreement made as of ______________________, 20___ between Rafferty Capital Markets, LLC ("RCM"), a corporation organized and existing under...Broker-Dealer Agreement • April 29th, 2008 • Aegis Funds • New York
THE DALMORE GROUPBroker-Dealer Agreement • November 17th, 2022 • RSE Portfolio, LLC • Real estate
This agreement (together with exhibits and schedules, the “Agreement”) is entered into by and between RSE Portfolio, LLC (“Client”) a Delaware Limited Liability Company, and Dalmore Group LLC, a New York Limited Liability Company (“Dalmore”). Each of Client and Dalmore may be referred to herein as a “Party” and, collectively, the “Parties.” Client and Dalmore agree to be bound by the terms of this Agreement, effective of May 3, 2022 (the “Effective Date”):
BANK AFFILIATED BROKER-DEALER AGREEMENTBroker-Dealer Agreement • October 24th, 2008 • Dreyfus Laurel Tax Free Municipal Funds • New York
We are a broker-dealer registered with the Securities and Exchange Commission under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). We desire to make available to our customers shares of beneficial interest or common stock of open-end registered investment companies managed, advised or administered by The Dreyfus Corporation or its subsidiaries or affiliates (hereinafter referred to individually as a "Fund" and collectively as the "Funds"). You are the principal underwriter (as such term is defined in the Investment Company Act of 1940, as amended) of the offering of shares of the Funds and the exclusive agent for the continuous distribution of such shares pursuant to the terms of a Distribution Agreement between you and each Fund. Unless the context otherwise requires, as used herein the term "Prospectus" shall mean the prospectus and related statement of additional information (the "Statement of Additional Information") incorporated therein by reference (as amen
Broker-Dealer AgreementBroker-Dealer Agreement • July 22nd, 2019 • Erc Homebuilders 2, Inc. • General bldg contractors - residential bldgs
This amended agreement (together with exhibits and schedules, the “Agreement”) is entered into by and between ERC Homebuilders 2, Inc. (“Client”) a Delaware Corporation, and Sageworks Capital LLC., a Pennsylvania Limited Liability Company (“Sageworks”). Client and Sageworks agree to be bound by the terms of this Agreement, effective of April 25, 2019 (the “Effective Date”):
BROKER-DEALER AGREEMENT Dated September 20, 2007 among THE BANK OF NEW YORK, as Auction Agent and UBS SECURITIES LLC, as Broker-Dealer and FIRST MARBLEHEAD DATA SERVICES, INC. relating to THE NATIONAL COLLEGIATE STUDENT LOAN TRUST 2007-4 $229,200,000...Broker-Dealer Agreement • October 5th, 2007 • National Collegiate Student Loan Trust 2007-4 • Asset-backed securities • New York
THIS BROKER-DEALER AGREEMENT, dated September 20, 2007, among (i) THE BANK OF NEW YORK (the “Auction Agent”), a New York banking corporation, not in its individual capacity but solely as agent of U.S. Bank National Association (the “Trustee”), pursuant to authority granted to the Auction Agent in the Auction Agreement, dated September 20, 2007 (the “Auction Agreement”), between the Trustee and the Auction Agent and acknowledged by the Corporation, as hereinafter defined; (ii) UBS SECURITIES LLC, a Delaware limited liability company (“BD”); and (iii) FIRST MARBLEHEAD DATA SERVICES, INC., a Massachusetts corporation (the “Corporation”).
AMENDED AND RESTATED BROKER-DEALER AGREEMENT between DEUTSCHE BANK TRUST COMPANY AMERICAS and [Name of Broker-Dealer] Dated as of [Date] Relating to AUCTION MARKET PREFERRED STOCK® ("AMPS"®) Series A, Series B and Series C of ABERDEEN ASIA-PACIFIC...Broker-Dealer Agreement • May 13th, 2003 • Aberdeen Asia Pacific Income Fund Inc • New York
AMENDED AND RESTATED BROKER-DEALER AGREEMENT ("Agreement") dated as of [Date] between Deutsche Bank Trust Company Americas, a New York corporation (the "Auction Agent") (not in its individual capacity but solely as agent of Aberdeen Asia-Pacific Income Fund, Inc., a Maryland corporation (the "Company"), pursuant to authority granted to it in the Amended and Restated Auction Agent Agreement dated as of May 9, 2003, between the Company and the Auction Agent (the "Auction Agent Agreement")) and [Name of Broker-Dealer] (together with its successors and assigns hereinafter referred to as "BD").
Broker-Dealer AgreementBroker-Dealer Agreement • November 21st, 2022 • Brazil Potash Corp. • Mining & quarrying of nonmetallic minerals (no fuels)
This agreement (together with exhibits and schedules, the “Agreement”) is entered into by and between BRAZIL POTASH CORP. (“Client”) an Ontario, Canada Corporation, and Dalmore Group, LLC., a New York Limited Liability Company (“Dalmore”). Client and Dalmore agree to be bound by the terms of this Agreement, effective of January 17, 2020 (the “Effective Date”):
BROKER-DEALER AGREEMENT (FULLY DISCLOSED BASIS) Dreyfus Service Corporation 200 Park Avenue New York, New York 10166 Gentlemen: We desire to enter into an Agreement with you for the sale of shares of beneficial interest or common stock of open-end...Broker-Dealer Agreement • September 28th, 2000 • Dreyfus New York Tax Exempt Bond Fund Inc /New/ • New York
Broker-Dealer AgreementBroker-Dealer Agreement • March 17th, 2021 • Startengine Crowdfunding, Inc. • Finance services
This agreement (together with exhibits and schedules, the “Agreement”) is entered into by and between StartEngine Crowdfunding, Inc (“Client”) a Delaware Corporation, and Dalmore Group, LLC., a New York Limited Liability Company (“Dalmore”). Client and Dalmore agree to be bound by the terms of this Agreement, effective of March 10, 2021 (the “Effective Date”):
Broker-Dealer AgreementBroker-Dealer Agreement • August 15th, 2024 • Whimsy Properties LLC
This agreement (together with exhibits and schedules, the “Agreement”) is entered into by and between Whimsy.LLC (“Client”), and Dalmore Group, LLC., a Delaware Limited Liability Company (“Dalmore”). Client and Dalmore agree to be bound by the terms of this Agreement, effective as 2023-10-12 (the “Effective Date”):
BROKER-DEALER AGREEMENTBroker-Dealer Agreement • October 19th, 2006 • Clough Global Opportunities Fund • New York
This Broker-Dealer Agreement dated as of [ ], 2006, is between The Bank of New York, a New York banking corporation (the "Auction Agent") (not in its individual capacity, but solely as agent of Clough Global Opportunities Fund, a statutory trust organized under the laws of the State of Delaware, as the same may be amended from time to time (the "Fund"), pursuant to authority granted to it in the Auction Agency Agreement between the Fund and the Auction Agent (the "Auction Agency Agreements") and [ ] (together with its successors and assigns, "BD").
SECOND AMENDED AND RESTATED BROKER-DEALER AGREEMENTBroker-Dealer Agreement • August 13th, 2021 • iCap Vault 1, LLC • Real estate • Delaware
This Second Amended and Restated Broker-Dealer Agreement (this “Agreement”) is entered into by and among iCap Vault 1, LLC, a Delaware limited liability company (“iCap Vault 1”), Vault Holding 1, LLC, a Delaware limited liability company (“Vault Holding 1”), and Cobalt Capital, Inc., a Florida corporation (the “Broker-Dealer”), effective August 9, 2021 (the “Effective Date”), regarding the offering and sale (the “Offering”) by iCap Vault 1 of up to $500,000,000 of Senior Secured Demand Notes (the “Notes”) issued by iCap Vault 1, as guaranteed by Vault Holding 1, LLC (“Guarantee”; and together with Notes, collectively, referred to herein as the “Securities”) pursuant to that certain Registration Statement on Form S-11 (the “Registration Statement”) filed by iCap Vault 1 and Vault Holding 1 (collectively, the “Issuer”) with the Securities and Exchange Commission (“SEC”). Capitalized terms used herein and not otherwise defined herein shall have the same meaning as set forth in the Registr
EXHIBIT 22(e)(ii) BROKER-DEALER AGREEMENT FOR WT MUTUAL FUND (FULLY DISCLOSED BASIS) Professional Funds Distributor, LLC 760 Moore Road King of Prussia, PA 19406 Ladies and Gentlemen: We desire to enter into an Agreement with you for the sale of...Broker-Dealer Agreement • July 16th, 2004 • Wt Mutual Fund • Delaware
BROKER-DEALER AGREEMENTBroker-Dealer Agreement • April 14th, 2022 • BlackRock Private Credit Fund • New York
We understand that BlackRock Investments, LLC is the exclusive distributor (the “Distributor”) of the common shares of beneficial interest, par value $0.001 per share (the “Shares”), of BlackRock Private Credit Fund (the “Fund”), a non-diversified, non-traded, closed-end management investment company that has elected to be regulated as a business development company under the Investment Company Act of 1940, as amended (the “1940 Act”). We desire to enter into an Agreement with the Distributor for the sale of the class(es) of Shares set forth on Appendix A that are now or hereafter available for sale to our customers.
betweenBroker-Dealer Agreement • January 25th, 2000 • Blackrock Florida Insured Municipal 2008 Term Trust • New York
Amended & Restated Broker-Dealer AgreementBroker-Dealer Agreement • January 17th, 2023 • Public Luxury Handbag Portfolio LLC • Retail-retail stores, nec
This agreement (together with exhibits and schedules, the “Agreement”) is entered into by and between Public Luxury Handbag Portfolio LLC (“Client”), a Delaware Limited Liability Company, and Dalmore Group, LLC., a New York Limited Liability Company (“Dalmore”). Client and Dalmore agree to be bound by the terms of this Agreement, effective as of December 21, 2022 (the “Effective Date”):
Broker-Dealer AgreementBroker-Dealer Agreement • May 7th, 2021 • Own Our Own Fund I, LLC • Real estate
This agreement (together with exhibits and schedules, the “Agreement”) is entered into by and between OUR OWN FUND I, LLC. (“Client”) a Delaware Limited Liability Company, and Dalmore Group, LLC., a New York Limited Liability Company (“Dalmore”). Client and Dalmore agree to be bound by the terms of this Agreement, effective of September 15, 2020 (the “Effective Date”):
BROKER-DEALER AGREEMENTBroker-Dealer Agreement • September 14th, 2007 • Tortoise Energy Infrastructure Corp • New York
We are a Broker-Dealer for _______________ (the [“Purchaser”] [“Seller”]), which [purchased] [sold] _____ MMP Shares of ____________________ in the Auction held on ____________________ from the [seller] [purchaser] of such MMP Shares.
EXHIBIT (3)(b) FORM OF BROKER/DEALER AGREEMENT LIFE INSURANCE COMPANY PRODUCT SALES AGREEMENT =============================================================== ================= THIS AGREEMENT is made by and among each life insurance company...Broker/Dealer Agreement • June 11th, 2001 • Separate Account Va F
BROKER-DEALER AGREEMENT Among DEUTSCHE BANK TRUST COMPANY AMERICAS as Auction Agent OPPENHEIMER & CO. INC. as Broker-Dealer Dated as of July 21, 2004 Relating to AUCTION MARKET PREFERRED SHARES SERIES A of FEDERATED PREMIER MUNICIPAL INCOME FUNDBroker-Dealer Agreement • October 6th, 2017 • Federated Premier Municipal Income Fund • New York
This BROKER-DEALER AGREEMENT dated as of July 21, 2004 (this “Agreement”), among (i) Deutsche Bank Trust Company Americas, a New York banking corporation, as auction agent (the “Auction Agent”) (not in its individual capacity but solely as agent of FEDERATED PREMIER MUNICIPAL INCOME FUND, a Delaware statutory trust (the “Trust”)) pursuant to authority granted to it in the Auction Agency Agreement and (ii) OPPENHEIMER & CO. INC., as broker-dealer (together with its successors and assigns as such hereinafter referred to as “BD”).
Broker-Dealer AgreementBroker-Dealer Agreement • June 18th, 2018 • Dubuc Motors Inc. • Motor vehicles & passenger car bodies
This agreement (together with exhibits and schedules, the “Agreement”) is entered into by and between Dubuc Motors, Inc. (“Client”) and Sageworks Capital LLC, a Pennsylvania Limited Liability Company (“Sageworks”). Client and Sageworks agree to be bound by the terms of this Agreement, effective as of June 12, 2017 (the “Effective Date”):
BROKER/DEALER AGREEMENT Keeley Investment Corp. 401 South LaSalle Street Suite 1201 Chicago, Illinois 60605 Gentlemen: We desire to enter into an Agreement with you for the sale of of those series of shares of common stock in KEELEY Funds, Inc. (the...Broker/Dealer Agreement • April 28th, 2005 • Keeley Funds, Inc. • Illinois
BROKER-DEALER AGREEMENTBroker-Dealer Agreement • March 2nd, 2022 • Landa App 3 LLC
This broker dealer agreement (together with exhibits and schedules, the “Agreement”) is entered into by and between Landa App 3 LLC, a Delaware Series Limited Liability Company (“Client”), and Dalmore Group, LLC, a New York Limited Liability Company (“Dalmore”). Client and Dalmore agree to be bound by the terms of this Agreement, effective as of February 11, 2022 (the “Effective Date”):
BROKER-DEALER AGREEMENTBroker-Dealer Agreement • September 14th, 2007 • Tortoise Energy Infrastructure Corp • New York
We are a Broker-Dealer for _____________________ (the “Purchaser”), which purchased _____ Tortoise Notes, Series _____ of ____________________________________ in the Auction held on ____________________ from the seller of such Tortoise Notes.
FORM OFBroker-Dealer Agreement • August 16th, 2007 • Shopoff Properties Trust, Inc. • Real estate investment trusts • California
Exhibit (e)(2) Broker-Dealer Agreement between Rafferty Capital Markets, LLC and broker-dealers, banks and other financial institutions RAFFERTY CAPITAL MARKETS, LLC 59 Hilton Avenue - Suite 101 Garden City, NY 11530 BROKER-DEALER AGREEMENT This...Broker-Dealer Agreement • December 28th, 2007 • Aegis Value Fund Inc • New York
BROKER-DEALER AGREEMENT dated as of [ ] Relating to Auction Preferred Shares Series [ ], [ ] and [ ] of BLACKROCK MUNICIPAL 2020 TERM TRUSTBroker-Dealer Agreement • November 17th, 2003 • Blackrock Municipal 2020 Term Trust • New York
This Broker-Dealer Agreement dated as of [ ] is between The Bank of New York, a New York banking corporation (the "Auction Agent") (not in its individual capacity, but solely as agent of BlackRock Municipal 2020 Term Trust (the "Fund"), pursuant to authority granted to it in the Auction Agency Agreement dated as of [ ] between the Fund and the Auction Agent (the "Auction Agency Agreement")) and [Broker-Dealer] (together with its successors and assigns, "BD").
BROKER-DEALER AGREEMENTBroker-Dealer Agreement • March 5th, 2009 • BlackRock Fixed Income Value Opportunities • Delaware
We desire to enter into an Agreement with you for the sale of common shares of beneficial interest or common shares of stock, as the case may be (“Shares”) in any closed-end investment company (each a “Closed-End Fund”) or any investment portfolio of an open-end investment company (excluding the investment portfolios of (i) BlackRock Liquidity Funds, (ii) Merrill Lynch Funds for Institutions Series, (iii) FDP Series, Inc. and (iv) Managed Account Series) (each an “Open-End Fund” and, together with the Closed-End Funds, the “Funds”) distributed by BlackRock Distributors, Inc. that are now or hereafter available for sale to our customers. You are the principal underwriter (as such term is defined in the Investment Company Act of 1940, as amended (the “1940 Act”)) of the offering of Shares of the Funds and the agent for the continuous distribution of such Shares pursuant to the terms of the Distribution Agreement between you and each Fund.
BROKER DEALER AGREEMENT CROWN EXPLORATION PARTNERS, LTD.Broker Dealer Agreement • June 10th, 2011 • Crown Exploration Fund I, L.P. • Drilling oil & gas wells • Texas
BROKER-DEALER AGREEMENT among ING CLARION REAL ESTATE INCOME FUND THE BANK OF NEW YORK as Auction Agent And each Broker-Dealer Dated as of January 8, 2007 Relating to AUCTION PREFERRED SHARES OF ING CLARION REAL ESTATE INCOME FUNDBroker-Dealer Agreement • January 9th, 2007 • Ing Clarion Real Estate Income Fund • New York
BROKER-DEALER AGREEMENT dated as of January 8, 2007 (this “Agreement”), among The Bank of New York, a New York banking corporation, as auction agent (the “Auction Agent”) (not in its individual capacity but solely as agent) pursuant to authority granted to it in the Auction Agency Agreement, ING Clarion Real Estate Income Fund (the “Trust”), and each broker-dealer whose name appears on the signature page hereof, as broker-dealer (together with its successors and assigns as such hereinafter referred to as “BD”).
BROKER-DEALER AGREEMENT FOR WT MUTUAL FUND (FULLY DISCLOSED BASIS) Provident Distributors, Inc., 3200 Horizon Drive King of Prussia, PA 19406 Ladies and Gentlemen: We desire to enter into an Agreement with you for the sale of shares of beneficial...Broker-Dealer Agreement • October 31st, 2000 • Wt Mutual Fund • Delaware
THE BANK OF NEW YORK MELLON, as Auction AgentBroker-Dealer Agreement • October 24th, 2011 • RMR Asia Pacific Real Estate Fund • New York
This Broker-Dealer Agreement dated as of , 20 , is between The Bank of New York Mellon, a New York banking corporation (the “Auction Agent”) (not in its individual capacity, but solely as agent of [The Reorganized Fund] (the “Fund”), pursuant to authority granted to it in the Auction Agency Agreement dated as of , 20 , between the Fund and the Auction Agent (the “Auction Agency Agreement”)), and [Broker Dealer] (together with its successors and assigns, “BD”).
