WITNESSESTH:Employment Agreement • December 4th, 2007 • Hudson Holding Corp • Security brokers, dealers & flotation companies • New York
EXHIBIT 99.7Registration Rights Agreement • December 11th, 2000 • Goldman Sachs Group Inc • Security brokers, dealers & flotation companies • New York
EXHIBIT 10.5 CREDIT AGREEMENT Dated as of January 23, 2006 among AMERITRADE HOLDING CORPORATIONCredit Agreement • February 8th, 2006 • Td Ameritrade Holding Corp • Security brokers, dealers & flotation companies • New York
June 9, 2002 Matthew Andresen 25 Broad Street, #17F New York, NY 10004 Dear Matt: Reference is made to (i) the Agreement and Plan of Merger (the "Merger Agreement"), dated as of the date hereof, among Instinet Group Incorporated ("Instinet"), Instinet...Employment Agreement • July 25th, 2002 • Instinet Group Inc • Security brokers, dealers & flotation companies • New York
EXECUTION VERSION STOCK PURCHASE AGREEMENTStock Purchase Agreement • August 10th, 2005 • Penson Worldwide Inc • Security brokers, dealers & flotation companies • New York
INDENTUREIndenture • May 23rd, 2001 • Merrill Lynch & Co Inc • Security brokers, dealers & flotation companies • New York
EXHIBIT 1(k) THE BEAR STEARNS COMPANIES INC. $2,000,000,000 IncomeNotes(SM) DISTRIBUTION AGREEMENTDistribution Agreement • June 20th, 2003 • Bear Stearns Companies Inc • Security brokers, dealers & flotation companies • New York
Exhibit 10(x) FORM OF SEVERANCE AGREEMENT BETWEEN MERRILL LYNCH & CO., INC. AND CERTAIN OF ITS DIRECTORS AND EXECUTIVE OFFICERS Merrill Lynch & Co., Inc. ("ML & Co.") considers it essential to the best interests of its stockholders to foster the...Severance Agreement • March 22nd, 1996 • Merrill Lynch & Co Inc • Security brokers, dealers & flotation companies • New York
amongParticipation Agreement • July 5th, 2000 • Goldman Sachs Group Inc • Security brokers, dealers & flotation companies
AGREEMENT OF LEASELease Agreement • March 31st, 2003 • Knight Trading Group Inc • Security brokers, dealers & flotation companies • New Jersey
WITNESSESTH:Employment Agreement • January 9th, 2007 • Hudson Holding Corp • Security brokers, dealers & flotation companies • New Jersey
BETWEENSub-Advisory Agreement • October 28th, 2002 • Mackenzie Investment Management Inc • Security brokers, dealers & flotation companies • Ontario
EXHIBIT 10.3 CONSULTING AGREEMENT CONSULTING AGREEMENT dated May 3, 2002, by and between Instinet Group Incorporated ("Company") and Kenneth K. Marshall ("Consultant"), with effect from May 1, 2002. WHEREAS, the Company desires the consulting services...Consulting Agreement • May 15th, 2002 • Instinet Group Inc • Security brokers, dealers & flotation companies • New York
WITNESSETHEscrow Agreement • October 8th, 2003 • S&p Managed Futures Index Fund Lp • Security brokers, dealers & flotation companies • New York
Exhibit 10.261 Purchase Agreement by and among The Charles Schwab Corporation, a Delaware corporation, CS Capital Markets & Co., a Delaware corporation, Schwab Associates & Co., a Delaware corporation, UBS Securities LLC, a Delaware limited liability...Purchase Agreement • November 8th, 2004 • Schwab Charles Corp • Security brokers, dealers & flotation companies • New York
WARRANT TO PURCHASE COMMON STOCK OF MARKETAXESS HOLDINGS INC.Warrant Agreement • May 7th, 2004 • Marketaxess Holdings Inc • Security brokers, dealers & flotation companies • New York
RECITALSVoting Agreement • May 9th, 2006 • First Montauk Financial Corp • Security brokers, dealers & flotation companies • Delaware
AMENDMENT NO. 1 TO PLEDGE AGREEMENTPledge Agreement • July 11th, 2000 • Goldman Sachs Group Inc • Security brokers, dealers & flotation companies • New York
BETWEENManagement Agreement • March 28th, 2002 • Nuveen John Company • Security brokers, dealers & flotation companies
FIRST SUPPLEMENTAL INDENTUREFirst Supplemental Indenture • July 15th, 2003 • Jefferies Group Inc /De/ • Security brokers, dealers & flotation companies
Exhibit A ---------- This exhibit contains excerpts from the Subscription Agreement, pursuant to which SOFTBANK Holdings Inc. transferred the securities of E*Trade Group, Inc., as described in Item 5(b) of Schedule 13D. 10 Langley Road, Suite 403...Subscription Agreement • January 11th, 1999 • Softbank America Inc • Security brokers, dealers & flotation companies
EXHIBIT 10.1 STOCK PURCHASE AGREEMENT THIS STOCK PURCHASE AGREEMENT (this "Agreement"), dated as of August 8, 2001, is entered into by and among Global Capital Partners Inc., a Delaware corporation with its principal offices at 6000 Fairview Road,...Stock Purchase Agreement • August 23rd, 2001 • Global Capital Partners Inc • Security brokers, dealers & flotation companies • New York
AMENDED AND RESTATED TRUST AGREEMENTTrust Agreement • February 24th, 2005 • Goldman Sachs Capital V • Security brokers, dealers & flotation companies • Delaware
1 EXHIBIT 10.1 EMPLOYMENT AGREEMENT AS AMENDED AND RESTATED WHEREAS, Ameritrade Holding Corporation (the "Company") and Joseph H. Moglia (the "Executive") entered into an employment agreement dated as of March 1, 2001 (the "Prior Agreement"); and...Employment Agreement • May 14th, 2001 • Ameritrade Holding Corp • Security brokers, dealers & flotation companies • Delaware
RECITALSNote Purchase Agreement • April 23rd, 2007 • Gamco Investors, Inc. Et Al • Security brokers, dealers & flotation companies
EXHIBIT 4.1 NEITHER THIS WARRANT NOR THE SHARES ISSUABLE UPON EXERCISE HEREOF HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE "SECURITIES ACT") OR ANY OTHER APPLICABLE STATE SECURITIES LAWS IN RELIANCE UPON AN EXEMPTION FROM THE...Warrant Agreement • March 14th, 2005 • Ab Watley Group Inc • Security brokers, dealers & flotation companies
EXHIBIT 10.238 $1,200,000,000 CREDIT AGREEMENT (364-DAY COMMITMENT) dated as of June 22, 2001Credit Agreement • March 27th, 2002 • Schwab Charles Corp • Security brokers, dealers & flotation companies • California
] 1/ Medium-Term Senior Notes, Series C, and Medium-Term Subordinated Notes, Series D, Due from Nine Months to 30 Years from Date of Issue Paine Webber Group Inc. Distribution AgreementDistribution Agreement • September 9th, 1998 • Paine Webber Group Inc • Security brokers, dealers & flotation companies • New York
M.H. MEYERSON & CO., INC. OPTION AGREEMENT GRANT OF OPTION AGREEMENT dated as of January 14, 2003 by and between M.H. MEYERSON & CO., INC., a New Jersey corporation with offices at 525 Washington Boulevard, 34th Floor, Jersey City, New Jersey 07310...Option Agreement • January 23rd, 2003 • Leighton John P • Security brokers, dealers & flotation companies
Exhibit 5 ADMINISTRATION AGREEMENT dated as of September 15, 1997 (the "Closing Date"), among TIERS Asset-Backed Securities, Series CHAMT Trust 1997-7, a Delaware business trust (the "Issuer"), Delaware Trust Capital Management, Inc., as Trustee under...Administration Agreement • September 23rd, 1997 • Structured Products Corp • Security brokers, dealers & flotation companies • New York
AGREEMENT AND PLAN OF MERGERS, MEMBER INTEREST PURCHASE AND REORGANIZATION OFMerger Agreement • September 19th, 2001 • E Trade Group Inc • Security brokers, dealers & flotation companies • Delaware
EXHIBIT 2.1 AGREEMENT AND PLAN OF MERGER by and between THE BEAR STEARNS COMPANIES INC.Merger Agreement • March 20th, 2008 • Bear Stearns Companies Inc • Security brokers, dealers & flotation companies • Delaware
IntercontinentalExchange, Inc. Common Stock Underwriting Agreement July 17, 2006 Goldman, Sachs & Co. Morgan Stanley & Co. Incorporated As representatives of the several Underwriters named in Schedule I hereto (the "Representatives"), c/o Goldman,...Underwriting Agreement • July 26th, 2006 • Goldman Sachs Group Inc/ • Security brokers, dealers & flotation companies • New York
Dated as of July 1, 1999Supplemental Indenture • July 1st, 1999 • Targets Trusts Vi • Security brokers, dealers & flotation companies
Exhibit (d)(3) STOCK OPTION AGREEMENT STOCK OPTION AGREEMENT, dated as of July 17, 2001 (the "Agreement"), between GLOBALNET ACQUISITIONS INC., a Delaware corporation ("Purchaser"), and GLOBALNET FINANCIAL.COM, INC., a Delaware corporation (the...Stock Option Agreement • July 25th, 2001 • Newmedia Spark PLC • Security brokers, dealers & flotation companies • Delaware
