BROKER DEALER SELLING AGREEMENTBroker-Dealer Selling Agreement • April 7th, 2020 • Pruco Life Variable Universal Account • New Jersey
This Broker-Dealer Selling Agreement (hereinafter “Agreement”) is made by and between PRUCO SECURITIES, LLC (hereinafter "Distributor"), The Prudential Insurance Company of America (hereinafter “Prudential”), Pruco Life Insurance Company (hereinafter “PLIC) and Pruco Life Insurance Company of New Jersey (hereinafter “PLNJ”), (hereinafter, the preceding three entities referred to collectively as the “Company”), and Broker Dealer (hereinafter "Broker-Dealer"), and together with Broker-Dealer’s duly licensed affiliates set forth on the Schedule A, attached hereto and made a part hereof (hereinafter the “Affiliates”)
BROKER-DEALER SELLING AGREEMENTBroker-Dealer Selling Agreement • July 28th, 2016 • Dreyfus Premier Short Intermediate Municipal Bond Fund • New York
MBSC Securities Corporation (“we or “us”), as the principal underwriter and exclusive agent for the continuous distribution of the shares of beneficial interest or common stock of open-end registered investment companies managed, advised or administered by The Dreyfus Corporation (“Dreyfus”) or its subsidiaries or affiliates (each, a “Fund” and collectively, the “Funds”) pursuant to the terms of a Distribution Agreement between us and the Funds, agrees to sell Fund shares to you, the firm specified on the signature page hereto (“you”), in accordance with the terms and conditions set forth in this Agreement. Unless the context otherwise requires, as used herein the term “Prospectus” shall mean the full, statutory prospectus (the “Statutory Prospectus”) and related statement of additional information (the “SAI”) incorporated therein by reference (as amended or supplemented) of each of the respective Funds included in the then currently effective registration statement (or post-effective
BROKER DEALER SELLING AGREEMENTBroker Dealer Selling Agreement • May 3rd, 2007 • Campbell Multi-Strategy Trust • Colorado
BROKER-DEALER SELLING AGREEMENTBroker-Dealer Selling Agreement • March 27th, 2020 • General Municipal Money Market Funds, Inc. • New York
BNY Mellon Securities Corporation (“we” or “us”), as the principal underwriter and exclusive agent for the continuous distribution of the shares of beneficial interest or common stock of open-end registered investment companies managed, advised or administered by BNY Mellon Investment Adviser, Inc. (“Adviser”) or its subsidiaries or affiliates (each, a “Fund” and collectively, the “Funds”) pursuant to the terms of a Distribution Agreement between us and the Funds, agrees to sell Fund shares to you, the firm specified on the signature page hereto (“you”), in accordance with the terms and conditions set forth in this Agreement. You may make shares of the Funds available to your customers and, with respect to certain Fund shares, provide shareholder, administrative or other services to your customers who own shares of the Funds in accordance with the terms and conditions set forth in this Agreement. Unless the context otherwise requires, as used herein the term “Prospectus” shall mean the
SELLING AGREEMENTBroker Dealer Selling Agreement • March 23rd, 2022 • Ares Private Markets Fund • Colorado
THIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“Distributor”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and________________________________________, a _______________________________ company having its principal place of business ____________________________________________ (hereinafter “Broker/Dealer”).
BROKER DEALER SELLING AGREEMENTBroker Dealer Selling Agreement • April 6th, 2023 • Pruco Life of New Jersey Variable Appreciable Account • New Jersey
This Broker-Dealer Selling Agreement (hereinafter “Agreement”) is made by and between PRUCO SECURITIES, LLC (hereinafter "Distributor"), The Prudential Insurance Company of America (hereinafter “Prudential”), Pruco Life Insurance Company (hereinafter “PLIC) and Pruco Life Insurance Company of New Jersey (hereinafter “PLNJ”), (hereinafter, the preceding three entities referred to collectively as the “Company”), and [Broker Dealer]. (hereinafter "Broker-Dealer"), and together with Broker-Dealer’s duly licensed affiliates set forth on the Schedule A, attached hereto and made a part hereof (hereinafter the “Affiliates”)
BROKER-DEALER SELLING AGREEMENTBroker-Dealer Selling Agreement • July 26th, 2023 • List Income Opportunities Fund • Colorado
THIS BROKER-DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“Distributor”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1000, Denver, Colorado 80203, and ___________________________________, a _________________________ having its principal place of business at ________________________________________________________ (hereinafter “Broker-Dealer”).
BROKER DEALER SELLING AGREEMENTBroker Dealer Selling Agreement • July 31st, 2013 • ALPS Series Trust • Colorado
THIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“ADI”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and , a company having its principal place of (hereinafter “Broker/Dealer”).
BROKER DEALER SELLING AGREEMENTBroker Dealer Selling Agreement • January 27th, 2017 • USCF Mutual Funds Trust • Colorado
THIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“Distributor”), a Colorado corporation __________ having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203 ______________________________, and __________, a __________ company having its principal place of business __________ (hereinafter “Broker/Dealer”).
Form of Broker-Dealer Selling AgreementBroker-Dealer Selling Agreement • June 14th, 2021 • Protective NY COLI VUL • New York
Protective Life and Annuity Insurance Company (“Protective”) has appointed Investment Distributors, Inc. (“IDI,” and together with Protective, the “Company”), a registered broker-dealer under the Securities and Exchange Act of 1934, as amended, and member of the Financial Industry Regulatory Authority, Inc. (“FINRA”), as the principal underwriter of the variable life insurance contracts that are issued by Protective. This Broker-Dealer Selling Agreement (the “Agreement”) allows IDI to compensate Selling Firm for the sale by Selling Firm and Licensed Personnel (defined below) of certain Protective life corporate owned variable universal life insurance contracts (individually, a “Contract” and collectively, the “Contracts”) set forth on the Product and Compensation Schedule(s), Schedule A, of this Agreement. The Product and Compensation Schedule is subject to change at any time upon notice to Selling Firm.
WITNESSETH:Broker-Dealer Selling Agreement • May 25th, 2004 • Lincoln Life Flexible Premium Variable Life Account M • Indiana
BROKER DEALER SELLING AGREEMENTBroker Dealer Selling Agreement • December 19th, 2018 • CC Real Estate Income Fund-T2 • Colorado
THIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“Distributor”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and ___________________________________, a _________________________ company having its principal place of business ________________________________________________________ (hereinafter “Broker/Dealer”).
BROKER-DEALER SELLING AGREEMENTBroker-Dealer Selling Agreement • December 13th, 2024 • Lincoln New York Account N for Variable Annuities
AGREEMENT by and among The Lincoln National Life Insurance Company, a life insurance company organized under the laws of Indiana, Lincoln Life & Annuity Company of New York, a life insurance company organized under the laws of New York (collectively "Company" or, as appropriate, the “Issuing Insurer”), Lincoln Financial Distributors, Inc. (“LFD”), a registered broker-dealer with the Securities and Exchange Commission ("SEC") under the Securities Exchange Act of 1934 and a member of the Financial Industry Regulatory Authority, or its successor, ("FINRA"); ("Broker-Dealer"), also a registered broker-dealer with the Securities and Exchange Commission under the Securities Exchange Act of 1934 and a member of the FINRA; and; ("Agency”); and each additional insurance agency signatory hereto (each of which shall also be referred to herein as “Agency”).
BROKER DEALER SELLING AGREEMENTBroker Dealer Selling Agreement • April 9th, 2019 • FS Multi-Alternative Income Fund • Colorado
THIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“Distributor”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and ___________________________________, a _________________________ company having its principal place of business ________________________________________________________ (hereinafter “Broker/Dealer”).
EX-99.(E)(3) 6 d320490dex99e3.htm FORM OF BROKER DEALER SELLING AGREEMENT WITH ALPS DISTRIBUTORS, INC. Exhibit (e)(3) BROKER DEALER SELLING AGREEMENTBroker Dealer Selling Agreement • May 5th, 2020 • Colorado
THIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“ADI”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and , a company having its principal place of business (hereinafter “Broker/Dealer”).
BROKER DEALER SELLING AGREEMENTBroker Dealer Selling Agreement • March 1st, 2017 • Griffin Institutional Access Credit Fund • Colorado
THIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“Distributor”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and ___________________________________, a _________________________ company having its principal place of business ________________________________________________________ (hereinafter “Broker/Dealer”).
TAMARACK LENDERS CORPORATION 9 1/2% AUTO RECEIVABLES BACKED NOTES 12% AUTO RECEIVABLES BACKED NOTES Broker-Dealer Selling Agreement Tamarack Financial, Inc. 801 East Campbell Road, Suite 311 Richardson, TX 75081 Dear Sirs: Tamarack Lenders...Broker-Dealer Selling Agreement • March 6th, 1998 • Tamarack Funding Corp • Asset-backed securities • Texas
BROKER DEALER SELLING AGREEMENTBroker Dealer Selling Agreement • April 29th, 2016 • Wilmington Funds • Colorado
THIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“ADI”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and , a company having its principal place of business (hereinafter “Broker/Dealer”).
BROKER-DEALER SELLING AGREEMENTBroker-Dealer Selling Agreement • January 30th, 2023 • Apollo Diversified Real Estate Fund • Colorado
THIS BROKER-DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“Distributor”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1000, Denver, Colorado 80203, and ___________________________________, a _________________________ having its principal place of business at ________________________________________________________ (hereinafter “Broker-Dealer”).
The Penn Mutual Life Insurance Company Penn Independence Square, Philadelphia, PA 19172 Mutual --------------------------------------------------------------- ----------------- National Accounts - Broker-Dealers Licensed to Sell Variable Annuities...Broker-Dealer Selling Agreement • April 27th, 1999 • Penn Mutual Variable Annuity Account Iii
BROKER-DEALER SELLING AGREEMENTBroker-Dealer Selling Agreement • January 30th, 2018 • Lincoln Life Variable Annuity Account N
AGREEMENT by and among The Lincoln National Life Insurance Company, a life insurance company organized under the laws of Indiana, Lincoln Life & Annuity Company of New York, a life insurance company organized under the laws of New York (collectively "Company" or, as appropriate, the "Issuing Insurer"), Lincoln Financial Distributors, Inc. ("LFD"), a registered broker-dealer with the Securities and Exchange Commission ("SEC") under the Securities Exchange Act of 1934 and a member of the Financial Industry Regulatory Authority, or its successor, ("FINRA"); _______________ ("Broker-Dealer"), also a registered broker-dealer with the Securities and Exchange Commission under the Securities Exchange Act of 1934 and a member of the FINRA; and; __________________________ ("Agency"); and each additional insurance agency signatory hereto (each of which shall also be referred to herein as "Agency").
BROKER-DEALER SELLING AGREEMENT AGREEMENT by and among The Lincoln National Life Insurance Company, a life insurance company organized under the laws of Indiana, Lincoln Life & Annuity Company of New York, a life insurance company organized under the...Broker-Dealer Selling Agreement • April 8th, 2011 • Lincoln Life Variable Annuity Account N
BROKER DEALER SELLING AGREEMENTBroker Dealer Selling Agreement • April 28th, 2022 • Heartland Group Inc • Colorado
THIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“ADI”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1000, Denver, Colorado 80203, and ____________________________________, a _______________________ company having its principal place of business at __________________________________________________________ (hereinafter “Broker/Dealer”).
BROKER DEALER SELLING AGREEMENTBroker Dealer Selling Agreement • February 27th, 2015 • Isi Strategy Fund Inc • Colorado
THIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“Distributor”), a Colorado corporation_____________ having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203___________________________________, and ___________________________________, a _________________________ company having its principal place of business ________________________________________________________ (hereinafter “Broker/Dealer”).
BROKER-DEALER SELLING AGREEMENT AND SALES SUPPORT AGREEMENTBroker-Dealer Selling Agreement • July 2nd, 2021 • Penn Insurance & Annuity Co • Pennsylvania
THE PENN MUTUAL LIFE INSURANCE COMPANY (hereinafter called “Penn Mutual”) and Hornor, Townsend & Kent, LLC (hereinafter called “Broker-Dealer” or “HTK”) enter into this Agreement on this date effective as of January 1, 2020 and agree as follows:
BROKER-DEALER SELLING AGREEMENT AND SALES SUPPORT AGREEMENTBroker-Dealer Selling Agreement • February 15th, 2023 • Pia Variable Life Account I • Pennsylvania
THE PENN INSURANCE AND ANNUITY COMPANY (hereinafter called “PIA”) and Hornor, Townsend & Kent, LLC (hereinafter called “Broker-Dealer” or “HTK”) enter into this Agreement on this date effective as of January 1, 2023 and agree as follows:
BROKER DEALER SELLING AGREEMENTBroker Dealer Selling Agreement • April 30th, 2007 • Stewart W P & Co Growth Fund Inc • Colorado
THIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“ADI”), a Colorado corporation having its principal place of business at 1625 Broadway, Suite 2200, Denver, Colorado 80202, and, __________________________________ a _________________________ company having its principal place of business at ____________________________________________________________ (hereinafter “Broker/Dealer”).
BROKER DEALER SELLING AGREEMENTBroker Dealer Selling Agreement • October 28th, 2016 • Meridian Fund Inc • Colorado
THIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“Distributor”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203 , and , a company having its principal place of business (hereinafter “Broker/Dealer”).
BROKER-DEALER SELLING AGREEMENTBroker-Dealer Selling Agreement • September 30th, 2021 • Brandes Investment Trust • Colorado
THIS BROKER-DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“Distributor”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1000, Denver, Colorado 80203, and , a having its principal place of business at (hereinafter “Broker-Dealer”).
BROKER-DEALER SELLING AGREEMENTBroker-Dealer Selling Agreement • November 8th, 2024 • CION Grosvenor Infrastructure Fund • Colorado
THIS BROKER-DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“Distributor”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1000, Denver, Colorado 80203, and ___________________________________, a _________________________ having its principal place of business at ________________________________________________________ (hereinafter “Broker-Dealer”).
Broker-Dealer Selling AgreementBroker-Dealer Selling Agreement • June 27th, 2023 • Fidelity & Guaranty Life Insurance Co • Life insurance • Iowa
This agreement (the “Agreement”) is made between and among Fidelity & Guaranty Life Insurance Company and/or Fidelity & Guaranty Life Insurance Company of New York, as applicable, F&G Securities, where applicable, the broker-dealer named on the signature page or identified to the Company via SalesLink (the “Broker-Dealer,” “you,” “your” or “yours”), and, if applicable, a licensed insurance agency affiliate of Broker-Dealer named on the signature page (“Insurance Agency”). This Agreement is made as of the date appearing adjacent to the signature line (or if no date appears thereon, as of the date the undersigned first offered any insurance product underwritten by either Company for sale to any customer or prospective customer) or the date it is submitted electronically via SalesLink, (the Company’s secure access producer intranet site), provided however, that the Agreement shall not be effective until executed by the Company(ies) and F&G Securities. Such execution and acceptance of this
FORM OF BROKER-DEALER SELLING AGREEMENTBroker-Dealer Selling Agreement • March 6th, 2020 • CIM Real Assets & Credit Fund • Colorado
THIS BROKER-DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“Distributor”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and ___________________________________, a _________________________ having its principal place of business at ________________________________________________________ (hereinafter “Broker-Dealer”).
BROKER-DEALER SELLING AGREEMENTBroker-Dealer Selling Agreement • August 3rd, 2016 • HempTech Corp • New York
This Broker-Dealer Selling Agreement (this “Agreement”) is made and entered into as of August 1, 2016 by and between FundAmerica Securities, LLC (“FundAmerica”, “us, “our”, or “we”) and HempTech Corp., (“Issuer”, “you” or “your”).
BROKER-DEALER SELLING AGREEMENTBroker-Dealer Selling Agreement • April 13th, 2012 • Penn Mutual Variable Annuity Account Iii • Pennsylvania
WHEREAS, Distributor is a wholly owned subsidiary of Penn Mutual, is registered as a broker-dealer under the Securities Exchange Act of 1934, is a member of FINRA, and is assisting Penn Mutual in the distribution of such contracts;
FORM OF BROKER DEALER SELLING AGREEMENTBroker Dealer Selling Agreement • December 20th, 2016 • NorthStar Real Estate Capital Income Fund • Colorado
THIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“Distributor”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and ___________________________________, a _________________________ company having its principal place of business ________________________________________________________ (hereinafter “Broker/Dealer”).
