Standard Contracts
MASTER AGREEMENT AMONG UNDERWRITERSMaster Agreement Among Underwriters • August 18th, 2023 • New York
This Master Agreement Among Underwriters (this “Master AAU”), dated as of , 20 , is by and between [insert name of investment banking firm] (“[Investment Banking Firm],” or “we”) and (an “Underwriter,” as defined in Section 1.1 hereof, or “you”). From time to time we or one or more of our affiliates may invite you (and others) to participate on the terms set forth herein as an underwriter or an initial purchaser, or in a similar capacity, in connection with certain offerings of securities that are managed solely by us or with one or more other co-managers. If we invite you to participate in a specific offering and sale of securities (an “Offering”) to which this Master AAU will apply, we will send the information set forth in Section 1.1 hereof to you by one or more wires, telexes, telecopy or electronic data transmissions, or other written communications (each, a “Wire,” and collectively, an “AAU”), unless you are otherwise deemed to have accepted an AAU with respect to such Offering
I. GENERALMaster Agreement Among Underwriters • March 26th, 2014 • First Trust New Opportunities MLP & Energy Fund • New York
WELLS FARGO SECURITIES, LLC MASTER AGREEMENT AMONG UNDERWRITERS REGISTERED SEC OFFERINGS (INCLUDING MULTIPLE SYNDICATE OFFERINGS)Master Agreement Among Underwriters • September 23rd, 2015 • First Trust Dynamic Europe Equity Income Fund • New York
MASTER AGREEMENT AMONG UNDERWRITERS Registered SEC Offerings (including Multiple Syndicate Offerings), Standby Underwritings and Exempt Offerings (other than Offerings of Municipal Securities)Master Agreement Among Underwriters • January 26th, 2010 • ING Infrastructure, Industrials & Materials Fund • New York
From time to time Salomon Smith Barney Inc. (“Salomon Smith Barney”) may invite you (and others) to participate on the terms set forth herein as an underwriter or an initial purchaser, or in a similar capacity, in connection with certain offerings of securities that are managed solely by us or with one or more other co-managers. If we invite you to participate in a specific offering and sale (an “Offering”) to which this Master Agreement Among Underwriters (the “Salomon Smith Barney Master AAU”) shall apply, we will send the information set forth below in Section 1.1 to you by one or more wires, telexes, facsimile or electronic data transmissions or other written communications (each a “Wire” and collectively, an “AAU”). Each Wire will indicate that it is a Wire pursuant to the Salomon Smith Barney Master AAU. The Wire inviting you to participate in an Offering is referred to herein as the “Invitation Wire”. You and we hereby agree that by the terms hereof the provisions of this Salomo
MASTER AGREEMENT AMONG UNDERWRITERSMaster Agreement Among Underwriters • May 24th, 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”.
REGISTERED SEC OFFERINGSMaster Agreement Among Underwriters • May 25th, 2006 • RMR Asia Pacific Real Estate Fund • New York
Effective Date: January 30, 2020Master Agreement Among Underwriters • January 29th, 2020
Effective Date: May 11, 2019Master Agreement Among Underwriters • May 7th, 2019
MORGAN KEEGAN & COMPANY, INC. MASTER AGREEMENT AMONG UNDERWRITERS BASIC PROVISIONS FOR OFFERINGS OF SECURITIES Ladies and Gentlemen: From time to time Morgan Keegan & Company, Inc., ("We" or the "Manager") may invite you to participate on the terms...Master Agreement Among Underwriters • January 9th, 2006 • RMK Multi-Sector High Income Fund Inc • Tennessee
MASTER AGREEMENT AMONG UNDERWRITERSMaster Agreement Among Underwriters • July 15th, 2008 • Morgan Stanley Frontier Emerging Markets Fund, Inc. • New York
Effective Date: March 1, 2019 Securities Industry and Financial Markets Association Municipal Securities DivisionMaster Agreement Among Underwriters • March 12th, 2019
Exhibit h.3 Master Agreement Among Underwriters UBS Warburg LLC 299 Park Avenue New York, New York 10171-0026 Ladies and Gentlemen: We hereby agree that this Master Agreement Among Underwriters (this "Agreement") will apply to our participation in...Master Agreement Among Underwriters • June 25th, 2002 • Pimco New York Municipal Income Fund Ii • New York
UBS SECURITIES LLC Master Agreement Among UnderwritersMaster Agreement Among Underwriters • October 25th, 2010 • Kayne Anderson Midstream/Energy Fund, Inc. • 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”.
Effective Date: November 5, 2019Master Agreement Among Underwriters • November 3rd, 2019
MASTER AGREEMENT AMONG UNDERWRITERSMaster Agreement Among Underwriters • April 26th, 2007 • Nuveen Multi-Currency Short-Term Government Income Fund • New York
to be printed on letterhead of the Underwriter]Master Agreement Among Underwriters • July 11th, 2018
Effective Date: September 25th, 2018Master Agreement Among Underwriters • September 25th, 2018
Effective Date: 1/6/2020 Securities Industry and Financial Markets Association Municipal Securities DivisionMaster Agreement Among Underwriters • February 19th, 2020
RAMIREZMaster Agreement Among Underwriters • October 23rd, 2018
Effective Date: October 1, 2018Master Agreement Among Underwriters • October 2nd, 2018
Sisung Securities CorporationMaster Agreement Among Underwriters • September 26th, 2018
This letter confirms the agreement of Sisung Securities Corporation (the “Signing Party”) to be bound by the terms of the Master Agreement Among Underwriters for Negotiated Offerings of Municipal Securities (SIFMA 2018 edition) (the “Master Agreement”). This letter constitutes an Acceptance Letter as described in the Master Agreement and is being delivered by the Signing Party to the Securities Industry and Financial Markets Association (“SIFMA”) in accordance with the provisions of the Master Agreement. The terms and provisions of the Master Agreement are hereby incorporated into this Acceptance Letter. We agree that, effective as of the effective date set forth above, we will be bound by the terms of the Master Agreement in connection with each Account established under the Master Agreement (i) that we form as Manager or (ii) in which we are invited and agree to participate as an Underwriter. This Acceptance Letter shall remain in effect for all Accounts in which (i) we are the Manag
Effective Date: September 4, 2018Master Agreement Among Underwriters • July 19th, 2018
LOGO OMITTED] MASTER AGREEMENT AMONG UNDERWRITERSMaster Agreement Among Underwriters • September 25th, 2003 • First Trust/Four Corners Senior Floating Rate Income Fund • Florida
Effective Date: September 4, 2018Master Agreement Among Underwriters • April 26th, 2017
1 EXHIBIT (h)(2) MORGAN STANLEY & CO. INCORPORATED 1251 Avenue of the Americas New York, New York 10020 MASTER AGREEMENT AMONG UNDERWRITERSMaster Agreement Among Underwriters • June 22nd, 1998 • Van Kampen American Capital Senior Income Trust • New York
Effective Date: September 4, 2018Master Agreement Among Underwriters • August 13th, 2018
MASTER AGREEMENT AMONG UNDERWRITERSMaster Agreement Among Underwriters • November 16th, 2006 • DWS Dreman Value IncomEdge Fund, Inc. • New York
Effective Date: September 4, 2018Master Agreement Among Underwriters • July 16th, 2018
Effective Date: September 27, 2018Master Agreement Among Underwriters • September 27th, 2018
Effective Date: September 4, 2018 Securities Industry and Financial Markets Association Municipal Securities DivisionMaster Agreement Among Underwriters • July 25th, 2018
Effective Date: July 17, 2019 Securities Industry and Financial Markets Association Municipal Securities DivisionMaster Agreement Among Underwriters • July 18th, 2019
Effective Date: September 4, 2018Master Agreement Among Underwriters • August 31st, 2018
Re: Master Agreement Among Underwriters (Negotiated Offerings of Municipal Securities)Master Agreement Among Underwriters • July 26th, 2018
This letter confirms the agreement of Piper Jaffray & Co. (the “Signing Party”) to be bound by the terms of the Master Agreement Among Underwriters for Negotiated Offerings of Municipal Securities (SIFMA 2018 edition) (the “Master Agreement”). This letter constitutes an Acceptance Letter as described in the Master Agreement and is being delivered by the Signing Party to the Securities Industry and Financial Markets Association (“SIFMA”) in accordance with the provisions of the Master Agreement. The terms and provisions of the Master Agreement are hereby incorporated into this Acceptance Letter. We agree that, effective as of the effective date set forth above, we will be bound by the terms of the Master Agreement in connection with each Account established under the Master Agreement (i) that we form as Manager or (ii) in which we are invited and agree to participate as an Underwriter. This Acceptance Letter shall remain in effect for all Accounts in which (i) we are the Manager or (ii)
Master Agreement Among UnderwritersMaster Agreement Among Underwriters • January 13th, 2003 • New York
Effective Date: September 4, 2018Master Agreement Among Underwriters • July 20th, 2018
