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Broker Dealer Agreements

These Broker Dealer Agreements are actual legal documents drafted by top law firms for their clients. Use them for competitive intelligence, drafting documents or to get information about transactions within a particular industry or sector. We have millions of legal documents and clauses that you can search for free.

1) Automobile Dealer Retail Agreement Non-Recourse Dealer Retail Agreement

Parties: NICHOLAS FINANCIAL INC | NICHOLAS FINANCIAL, INC
Document Date: 2/11/2011
Industry: Consumer Financial Services
Sector: Financial


2) Amendment No. 1 to Sales Agency Agreement

Parties: IDACORP INC | BNY MELLON CAPITAL MARKETS, LLC | IDACORP, INC
Document Date: 12/6/2010
Industry: Electric Utilities
Sector: Utilities
Governing Law:New York


3) Pricing Agreement

Parties: LAZARD LTD | Citigroup Global Markets Inc | Selling Shareholders, Lazard Group LLC
Document Date: 11/5/2010
Industry: Investment Services
Sector: Financial


4) FIRST ADDENDUM TO THE SELLING AGENCY AGREEMENT FOR CRYOPORT, INC. STOCK AND WARRANTS

Parties: CRYOPORT, INC. | CRYOPORT, INC | EMERGENT FINANCIAL GROUP, INC
Document Date: 10/19/2010
Industry: Containers and Packaging
Sector: Basic Materials


5) SELLING AGENCY AGREEMENT FOR CRYOPORT, INC. STOCK AND WARRANTS

Parties: CRYOPORT, INC. | CRYOPORT, INC | EMERGENT FINANCIAL GROUP, INC | Maxim Group LLC
Law Firm: Snell Wilmer
Document Date: 10/19/2010
Industry: Containers and Packaging
Sector: Basic Materials
Governing Law:Minnesota


6) EXECUTION VERSION SALES AGENCY AGREEMENT THIS AGREEMENT

Parties: DELTATHREE INC | ACN, Inc | Delta Three Israel, Ltd | DELTATHREE, INC | DME Solutions, Inc | LKN Communications, Inc
Document Date: 10/4/2010
Industry: Communications Services
Sector: Services
Governing Law:New York


7) SALES AGENCY AGREEMENT

Parties: GLOBAL INVESTOR SERVICES, INC. | Cougar Group | Global Investors Services, Inc
Document Date: 9/23/2010
Industry: Computer Services
Sector: Technology
Governing Law:New York


8) PRICING AGREEMENT

Parties: AETNA INC /PA/ | Aetna Inc | Barclays Capital Inc | RBS Securities Inc | UBS Securities LLC
Law Firm: Sullivan Cromwell
Document Date: 8/30/2010
Industry: Insurance (Accident and Health)
Sector: Financial


9) AMENDMENT TO AMENDED AND RESTATED SALES AGENCY AGREEMENT

Parties: AVISTA CORP | AVISTA CORPORATION | BNY MELLON CAPITAL MARKETS, LLC
Document Date: 8/25/2010
Industry: Electric Utilities
Sector: Utilities


10) DEALER MANAGER AGREEMENT

Parties: RESOURCE REAL ESTATE OPPORTUNITY REIT, INC. | Chadwick Securities, Inc
Document Date: 8/13/2010
Governing Law:Pennsylvania


11) WELLS CORE OFFICE INCOME REIT, INC. DEALER MANAGER AGREEMENT

Parties: WELLS CORE OFFICE INCOME REIT INC | Wells Investment Securities, Inc
Document Date: 8/11/2010
Governing Law:Georgia


12) Pricing Agreement

Parties: Banc of America Securities LLC | US Bancorp Investments, Inc | Wells Fargo Securities, LLC
Law Firm: Fried Frank
Document Date: 7/13/2010
Industry: Retail (Grocery)
Sector: Services


13) PRICING AGREEMENT

Parties: WAL MART STORES INC | Credit Suisse Securities (USA) LLC | Deutsche Bank Securities Inc | JP Morgan Securities Inc
Law Firm: Simpson Thacher
Document Date: 7/7/2010
Industry: Retail (Department and Discount)
Sector: Services


14) DEALER-MANAGER AGREEMENT

Parties: INLAND REAL ESTATE CORP | LaSalle Bank National Association
Law Firm: Weil Gotshal;Venable;Shefsky Froelich
Document Date: 6/29/2010
Industry: Real Estate Operations
Sector: Services
Governing Law:New York


15) SALES AGENCY AGREEMENT

Parties: ZHONG WEN INTERNATIONAL HOLDING CO., LTD. | HONGKONG ZHONGWENBO INTERNATIONAL GROUP COMPANY LIMITED | SHANDONG ZHONGWEN INDUSTRIAL GROUP COMPANY LIMITED
Document Date: 6/21/2010


16) Haizhong CWSF Boiler Sales Agency Agreement

Parties: SINO CLEAN ENERGY INC | Qingdao Haizhong Enterprises Co Ltd | Shaanxi Suo'ang Biological Science & Technology Co, Ltd
Document Date: 6/16/2010
Industry: Chemical Manufacturing
Sector: Basic Materials


17) DEALER MANAGER AGREEMENT

Parties: Kilroy Realty Corporation | Kilroy Realty, LP
Law Firm: Sidley Austin;Latham Watkins;Ballard Spahr
Document Date: 5/18/2010
Industry: Real Estate Operations
Sector: Services
Governing Law:New York


18) Pricing Agreement

Parties: SLM STUDENT LOAN TRUST 2010-1 | Bank of New York Mellon Trust Company, National Association | Credit Suisse Securities (USA) LLC | Eligible Lender Trustee and Deutsche Bank Trust Company
Document Date: 4/20/2010


19) PRICING AGREEMENT

Parties: WAL MART STORES INC
Law Firm: Simpson Thacher
Document Date: 4/1/2010
Industry: Retail (Department and Discount)
Sector: Services


20) Pricing Agreement

Parties: HARTFORD FINANCIAL SERVICES GROUP INC/DE
Law Firm: Cleary Gottlieb
Document Date: 3/23/2010
Industry: Insurance (Prop. and Casualty)
Sector: Financial


21) Pricing Agreement

Parties: HARTFORD FINANCIAL SERVICES GROUP INC/DE
Law Firm: Cleary Gottlieb
Document Date: 3/23/2010
Industry: Insurance (Prop. and Casualty)
Sector: Financial


22) Pricing Agreement

Parties: HARTFORD FINANCIAL SERVICES GROUP INC/DE
Law Firm: Cleary Gottlieb
Document Date: 3/23/2010
Industry: Insurance (Prop. and Casualty)
Sector: Financial


23) Pricing Agreement

Parties: LAZARD LTD
Document Date: 3/22/2010
Industry: Investment Services
Sector: Financial


24) DEALER AGREEMENT

Parties: PENSKE AUTOMOTIVE GROUP, INC. | Daimler AG | USA Distributor LLC
Document Date: 2/24/2010
Industry: Retail (Specialty)
Sector: Services
Governing Law:Michigan


25) AMENDED AND RESTATED DEALER MANAGER OPERATING AGREEMENT

Parties: Gladstone Commercial Corporation | Halcyon Capital Markets, LLC
Document Date: 2/24/2010
Industry: Real Estate Operations
Sector: Services
Governing Law:Virginia


26) GLADSTONE COMMERCIAL CORPORATION AMENDED AND RESTATED DEALER MANAGER AGREEMENT

Parties: GLADSTONE COMMERCIAL CORP
Document Date: 2/24/2010
Industry: Real Estate Operations
Sector: Services
Governing Law:Virginia


27) AMENDED AND RESTATED DEALER AGREEMENT

Parties: BARCLAYS BANK PLC | DANAHER CORPORATION | DANAHER EUROPEAN FINANCE COMPANY | DANAHER EUROPEAN FINANCE SA
Law Firm: Wilmer Cutler
Document Date: 2/24/2010
Industry: Scientific and Technical Instr.
Sector: Technology


28) DEALER AGREEMENT FOR MINI PASSENGER CARS

Parties: PENSKE AUTOMOTIVE GROUP, INC.
Document Date: 2/24/2010
Industry: Retail (Specialty)
Sector: Services
Governing Law:Delaware


29) Commercial Paper Dealer Agreement

Parties: Danaher Corporation | Goldman, Sachs & Co
Document Date: 2/24/2010
Industry: Scientific and Technical Instr.
Sector: Technology
Governing Law:New York


30) Automobile Dealer Retail Agreement Non-Recourse Dealer Retail Agreement

Parties: NICHOLAS FINANCIAL INC
Law Firm: Palmer Dodge
Document Date: 2/16/2010
Industry: Consumer Financial Services
Sector: Financial


31) DEALER MANAGER AGREEMENT

Parties: RUTHS HOSPITALITY GROUP, INC. | Jefferies & Company, Inc
Law Firm: Kirkland Ellis
Document Date: 1/22/2010
Industry: Restaurants
Sector: Services
Governing Law:New York


32) EXCLUSIVE DEALER MANAGER AGREEMENT

Parties: American Realty Capital II Advisors, LLC | ARC Shopping Center REIT Inc | Phillips Edison & Company SubAdvisor LLC | Realty Capital Securities, LLC
Law Firm: Proskauer Rose;DLA Piper
Document Date: 1/13/2010
Governing Law:Delaware


33) DEALER MANAGER AGREEMENT

Parties: INDUSTRIAL INCOME TRUST INC. | Dividend Capital Securities LLC | Industrial Income Advisors LLC
Law Firm: Greenberg Traurig
Document Date: 12/24/2009
Governing Law:Colorado


34) DEALER MANAGER OPERATING AGREEMENT

Parties: Gladstone Commercial Corporation | Halcyon Capital Markets, LLC
Document Date: 11/23/2009
Industry: Real Estate Operations
Sector: Services
Governing Law:Virginia


35) SALES AGENCY AGREEMENT

Parties: INLAND REAL ESTATE CORP
Law Firm: Sidley Austin;Venable;Shefsky Froelich
Document Date: 11/10/2009
Industry: Real Estate Operations
Sector: Services
Governing Law:New York


36) Commercial Paper Dealer Agreement

Parties: BARCLAYS CAPITAL INC | BLACKROCK, INC
Document Date: 10/20/2009
Industry: Investment Services
Sector: Financial
Governing Law:New York


37) Sales Agency Agreement of Shaanxi Jiali Pharmaceuticals Co., Ltd

Parties: LID HAIR STUDIOS INTERNATIONAL, INC. | Shaanxi Jiali Pharmaceuticals Co, Ltd
Document Date: 10/7/2009


38) Pricing Agreement

Parties: Banc of America Securities LLC | JP Morgan Securities Inc
Law Firm: Fried Frank
Document Date: 10/1/2009
Industry: Retail (Grocery)
Sector: Services


39) PRICING AGREEMENT

Parties: BRANDYWINE OPERATING PARTNERSHIP LP /PA | BANC OF AMERICA SECURITIES LLC | RBS SECURITIES INC | WELLS FARGO SECURITIES, LLC
Law Firm: Simpson Thacher
Document Date: 9/25/2009


40) PRICING AGREEMENT

Parties: WAL MART STORES INC | Barclays Bank PLC | JP Morgan Securities Ltd | Morgan Stanley & Co
Law Firm: Simpson Thacher
Document Date: 9/18/2009
Industry: Retail (Department and Discount)
Sector: Services


41) Pricing Agreement

Parties: LAZARD LTD
Document Date: 9/11/2009
Industry: Investment Services
Sector: Financial


42) DEALER MANAGER AGREEMENT

Parties: CORNERSTONE CORE PROPERTIES REIT, INC. | Pacific Cornerstone Capital, Incorporated
Law Firm: DLA Piper
Document Date: 8/14/2009
Governing Law:Maryland


43) COMMERCIAL PAPER DEALER AGREEMENT

Parties: AXA FINANCIAL INC | CITIGROUP GLOBAL MARKETS INC
Document Date: 8/11/2009
Industry: Insurance (Life)
Sector: Financial
Governing Law:New York


44) COMMERCIAL PAPER DEALER AGREEMENT

Parties: AXA FINANCIAL INC | AXA SA | JP MORGAN SECURITIES INC
Document Date: 8/11/2009
Industry: Insurance (Life)
Sector: Financial
Governing Law:New York


45) DEALER MANAGER AGREEMENT

Parties: SUBURBAN PROPANE PARTNERS LP | Banc of America Securities LLC | Suburban Energy Finance Corp | Wells Fargo Securities, LLC
Law Firm: Proskauer Rose
Document Date: 8/11/2009
Industry: Retail (Specialty)
Sector: Services
Governing Law:New York


46) COMMERCIAL PAPER DEALER AGREEMENT

Parties: AXA FINANCIAL, INC | AXA SA | BANC OF AMERICA SECURITIES LLC
Document Date: 8/11/2009
Industry: Insurance (Life)
Sector: Financial
Governing Law:New York


47) Re: Capped Call Transaction

Parties: PENNSYLVANIA REAL ESTATE INVESTMENT TRUST
Document Date: 8/10/2009
Industry: Real Estate Operations
Sector: Services


48) Re: Capped Call Transaction Reference:

Parties: PENNSYLVANIA REAL ESTATE INVESTMENT TRUST
Document Date: 8/10/2009
Industry: Real Estate Operations
Sector: Services


49) GRUBB & ELLIS APARTMENT REIT, INC. UP TO 105,000,000 SHARES OF COMMON STOCK DEALER MANAGER AGREEMENT

Parties: Financial Industrial Regulation Authority, Inc | GRUBB & ELLIS APARTMENT REIT, INC | Grubb & Ellis Securities, Inc | Securities Exchange Commission
Document Date: 6/26/2009
Governing Law:California


50) Pricing Agreement

Parties: LAZARD LTD | Goldman, Sachs & Co | Selling Shareholders, Lazard Group LLC
Document Date: 6/5/2009
Industry: Investment Services
Sector: Financial


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