Common use of Applicability of this Agreement Clause in Contracts

Applicability of this Agreement. The terms and conditions of this letter agreement (this “Agreement”) shall be applicable to any offering of securities (“Securities”), whether a public offering effected pursuant to a registration statement filed under the Securities Act of 1933, as amended (the “Securities Act”), or an offering exempt from registration thereunder (other than an offering of Securities effected wholly outside the United States of America), in respect of which Incapital LLC (“Incapital”), clearing through RBC Dain Correspondent Services (the “Account”) (acting for its own Account or for the account of any underwriting or agent or similar group or syndicate), is responsible for managing or otherwise implementing the sale (whether by acting as lead agent or manager or by facilitating the re-offer of Securities or otherwise) of the Securities to selected dealers (“Selected Dealers”) and has expressly informed you that these terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an “Offering.” In the case of any Offering where we are acting for the account of any underwriting or agent or similar group or syndicate (whether purchasing as principal for resale or soliciting as agent purchases of Securities directly from the issuer) (“Underwriters”), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives. The use of the defined term Underwriter herein shall be understood to include acting as agent.

Appears in 14 contracts

Samples: Selling Agent Agreement (Prudential Financial Capital Trust Iii), Selling Agent Agreement (BAC Capital Trust XIV), Selling Agent Agreement (Americredit Financial Services Inc)

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Applicability of this Agreement. The terms and conditions of this letter agreement (this “Agreement”) shall be applicable to any offering of securities (“Securities”), whether a public offering effected pursuant to a registration statement filed under the Securities Act of 1933, as amended (the “Securities Act”), or an offering exempt from registration thereunder (other than an offering of Securities effected wholly outside the United States of America), in respect of which Incapital InspereX LLC (“IncapitalInspereX”), clearing through RBC Dain Correspondent Services (the “Account”) (acting for its own Account or for the account of any underwriting or agent or similar group or syndicate), is responsible for managing or otherwise implementing the sale (whether by acting as lead agent or manager or by facilitating the re-offer of Securities or otherwise) of the Securities to selected dealers (“Selected Dealers”) and has expressly informed you that these terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an “Offering.” In the case of any Offering where we are acting for the account of any underwriting or agent or similar group or syndicate (whether purchasing as principal for resale or soliciting as agent purchases of Securities directly from the issuer) (“Underwriters”), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives. The use of the defined term Underwriter herein shall be understood to include acting as agent.

Appears in 6 contracts

Samples: Selling Agent Agreement (Ally Financial Inc.), Dealer Manager Agreement (Prospect Capital Corp), Selling Agent Agreement (Priority Income Fund, Inc.)

Applicability of this Agreement. The terms and conditions From time to time on or after the date hereof we may be responsible (acting for our own account or for the account of this letter agreement an underwriting or similar group or syndicate) for managing or otherwise implementing the sale to selected dealers (this “Agreement”"Selected Dealer") shall be applicable to any offering of securities (“Securities”), whether a public offering effected offered publicly pursuant to a registration statement filed under the Securities Act of 1933, as amended (the "Securities Act"), or offered pursuant to an offering exempt exemption from registration thereunder (other than an thereunder. The terms and conditions of this Agreement shall be applicable to any such offering in which we have invited you to participate as a Selected Dealer and have expressly informed you that the terms and conditions of this Agreement apply. This Agreement shall not apply to any offering of Securities securities effected wholly outside the United States of America), in respect of . Any offering to which Incapital LLC (“Incapital”), clearing through RBC Dain Correspondent Services (the “Account”) (acting for its own Account or for the account of any underwriting or agent or similar group or syndicate), is responsible for managing or otherwise implementing the sale (whether by acting as lead agent or manager or by facilitating the re-offer of Securities or otherwise) of the Securities to selected dealers (“Selected Dealers”) and has expressly informed you that these terms and conditions shall be applicableof this Agreement apply is herein referred to as an "Offering", and the securities offered in an Offering are herein referred to as the "Securities" with respect to such Offering. Any such offering of Securities to you as a Selected Dealer is hereinafter called an “Offering.” In the case of any Offering where in which we are acting for the account of any an underwriting or agent or similar group or syndicate (whether purchasing as principal for resale or soliciting as agent purchases of Securities directly from the issuer) (“"Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where in which we are acting with others as representatives of Underwriters, such other representatives. The use Some or all of the defined term Underwriter herein Underwriters in any Offering may be included among the Selected Dealers. The following provisions of this Agreement shall be understood apply separately to include acting as agenteach Offering.

Appears in 3 contracts

Samples: LCM Internet Growth Fund Inc, Conseco Strategic Income Fund, LCM Internet Growth Fund Inc

Applicability of this Agreement. The terms and conditions of this letter agreement (this “Agreement”) shall be applicable to any public offering of securities ("Securities"), whether a public offering effected pursuant to a registration statement filed under the Securities Act of 1933, as amended (the "Securities Act"), or an offering exempt from registration thereunder (other than an a public offering of Securities effected wholly outside the United States of America), in respect of which Incapital LLC (“Incapital”), clearing through RBC Dain Correspondent Services (the "Account") (acting for its own Account or for the account of any underwriting or agent or similar group or syndicate), ) is responsible for managing or otherwise implementing the sale (whether by acting as lead agent or manager or by facilitating the re-offer of Securities or otherwise) of the Securities to selected dealers ("Selected Dealers") and has expressly informed you that these terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering.” ". In the case of any Offering where we are acting for the account of any underwriting or agent or similar group or syndicate (whether purchasing as principal for resale or soliciting as agent purchases of Securities directly from the issuer) ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives. The use of the defined term Underwriter herein shall be understood to include acting as agent.

Appears in 2 contracts

Samples: Selling Agent Agreement (HSBC Finance CORP), Selling Agent Agreement (HSBC Finance Corp)

Applicability of this Agreement. The terms and conditions of this letter agreement (this “Agreement”) shall be applicable to any public offering of securities (“Securities”), whether a public offering effected pursuant to a registration statement filed under the Securities Act of 1933, as amended (the “Securities Act”), or an offering exempt from registration thereunder (other than an a public offering of Securities effected wholly outside the United States of America), in respect of which Incapital LLC (“Incapital”), clearing through RBC Dain Correspondent Services (the “Account”) (acting for its own Account or for the account of any underwriting or agent or similar group or syndicate), ) is responsible for managing or otherwise implementing the sale (whether by acting as lead agent or manager or by facilitating the re-offer of Securities or otherwise) of the Securities to selected dealers (“Selected Dealers”) and has expressly informed you that these terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an “Offering.” ”. In the case of any Offering where we are acting for the account of any underwriting or agent or similar group or syndicate (whether purchasing as principal for resale or soliciting as agent purchases of Securities directly from the issuer) (“Underwriters”), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives. The use of the defined term Underwriter herein shall be understood to include acting as agent.

Appears in 2 contracts

Samples: Selling Agent Agreement (Cit Group Inc), Selling Agent Agreement (Boeing Capital Corp)

Applicability of this Agreement. The terms and conditions of this letter agreement (this “Agreement”) shall be applicable to any offering of securities (“Securities”), whether a public offering effected pursuant to a registration statement filed under the Securities Act of 1933, as amended (the “Securities Act”), or an offering exempt from registration thereunder (other than an offering of Securities effected wholly outside the United States of America), in respect of which Incapital LLC (“Incapital”), the Purchasing Agent clearing through RBC Dain Correspondent Services BNY Clearing Services, LLC (the “Account”) (acting for its own Account or for the account of any underwriting or agent or similar group or syndicate), is responsible for managing or otherwise implementing the sale (whether by acting as lead agent or manager or by facilitating the re-offer of Securities or otherwise) of the Securities to selected dealers (“the Selected Dealers”) Dealers and has expressly informed you the Selected Dealers that these terms and conditions shall be applicable. Any such offering of Securities to you as a the Selected Dealer is hereinafter called an “Offering.” In the case of any Offering where we are the Purchasing Agent is acting for the account of any underwriting or agent or similar group or syndicate (whether purchasing as principal for resale or soliciting as agent purchases of Securities directly from the issuer) (“Underwriters”), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are the Purchasing Agent is acting with others as representatives of Underwriters, such other representatives. The use of the defined term Underwriter herein shall be understood to include acting as agent.

Appears in 2 contracts

Samples: Terms Agreement (Prudential Financial Capital Trust Iii), Terms Agreement (Prudential Financial Capital Trust Iii)

Applicability of this Agreement. The terms and conditions From time to time on or after the date hereof we may be responsible (acting for our own account or for the account of this letter agreement an underwriting or similar group or syndicate) for managing or otherwise implementing the sale to selected dealers (this “Agreement”"Selected Dealers") shall be applicable to any offering of securities (“Securities”), whether a public offering effected offered publicly pursuant to a registration statement filed under the Securities Act of 1933, as amended (the "Securities Act"), or offered pursuant to an offering exempt exemption from registration thereunder (other than an thereunder. The terms and conditions of this Agreement shall be applicable to any such offering in which we have invited you to participate as a Selected Dealer and have expressly informed you that the terms and conditions of this Agreement shall apply. This Agreement shall not apply to any offering of Securities securities effected wholly outside the United States of America), in respect of . Any offering to which Incapital LLC (“Incapital”), clearing through RBC Dain Correspondent Services (the “Account”) (acting for its own Account or for the account of any underwriting or agent or similar group or syndicate), is responsible for managing or otherwise implementing the sale (whether by acting as lead agent or manager or by facilitating the re-offer of Securities or otherwise) of the Securities to selected dealers (“Selected Dealers”) and has expressly informed you that these terms and conditions shall be applicableof this Agreement apply is herein referred to as an "Offering", and the securities offered in an Offering are herein referred to as the "Securities" with respect to such Offering. Any such offering of Securities to you as a Selected Dealer is hereinafter called an “Offering.” In the case of any Offering where in which we are acting for the account of any an underwriting or agent or similar group or syndicate (whether purchasing as principal for resale or soliciting as agent purchases of Securities directly from the issuer) (“"Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where in which we are acting with others as representatives of Underwriters, such other representatives. The use Some or all of the defined term Underwriter herein Underwriters in any Offering may be included among the Selected Dealers. The following provisions of this Agreement shall be understood apply separately to include acting as agenteach Offering.

Appears in 2 contracts

Samples: Master Selected Dealer Agreement (Medallion Financial Corp), Tortoise Energy Infrastructure Corp

Applicability of this Agreement. The terms and conditions of this letter agreement (this “Agreement”) shall be applicable to any offering of securities notes (“SecuritiesNotes”), whether a public offering effected pursuant to a registration statement filed under the Securities Act of 1933, as amended (the “Securities 1933 Act”), or an offering exempt from registration thereunder (other than an offering of Securities Notes effected wholly outside the United States of America), in respect of which Incapital LLC (“Incapital”), clearing through RBC Dain Correspondent Services [[•]] (the “Account”) (acting for its own Account or for the account of any underwriting or agent or similar group or syndicate), is responsible for managing or otherwise implementing the sale (whether by acting as lead agent or manager or by facilitating the re-offer of Securities Notes or otherwise) of the Securities Notes to selected dealers (“Selected Dealers”) and has expressly informed you that these terms and conditions shall be applicable. Any such offering of Securities Notes to you as a Selected Dealer is hereinafter called an “Offering.” In the case of any Offering where we are acting for the account of any underwriting or agent or similar group or syndicate (whether purchasing as principal for resale or soliciting as agent purchases of Securities Notes directly from the issuer) (“Underwriters”), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives. The use of the defined term Underwriter herein shall be understood to include acting as agent.

Appears in 1 contract

Samples: Selling Agent Agreement (Paccar Financial Corp)

Applicability of this Agreement. The terms and conditions From time to time on or after the date hereof we may be responsible (acting for our own account or for the account of this letter agreement an underwriting or similar group or syndicate) for managing or otherwise implementing the sale to selected dealers (this “Agreement”"Selected Dealers") shall be applicable to any offering of securities (“Securities”), whether a public offering effected offered publicly pursuant to a registration statement filed under the Securities Act of 1933, as amended (the "Securities Act"), or offered pursuant to an offering exempt exemption from registration thereunder (other than an thereunder. The terms and conditions of this Agreement shall be applicable to any such offering in which we have invited you to participate as a Selected Dealer and have expressly informed you that the terms and conditions of this Agreement apply. This Agreement shall not apply to any offering of Securities securities effected wholly outside the United States of America), in respect of . Any offering to which Incapital LLC (“Incapital”), clearing through RBC Dain Correspondent Services (the “Account”) (acting for its own Account or for the account of any underwriting or agent or similar group or syndicate), is responsible for managing or otherwise implementing the sale (whether by acting as lead agent or manager or by facilitating the re-offer of Securities or otherwise) of the Securities to selected dealers (“Selected Dealers”) and has expressly informed you that these terms and conditions shall be applicableof this Agreement apply is herein referred to as an "Offering", and the securities offered in an Offering are herein referred to as the "Securities" with respect to such Offering. Any such offering of Securities to you as a Selected Dealer is hereinafter called an “Offering.” In the case of any Offering where in which we are acting for the account of any an underwriting or agent or similar group or syndicate (whether purchasing as principal for resale or soliciting as agent purchases of Securities directly from the issuer) (“"Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where in which we are acting with others as representatives of Underwriters, such other representatives. The use Some or all of the defined term Underwriter herein Underwriters in any Offering may be included among the Selected Dealers. The following provisions of this Agreement shall be understood apply separately to include acting as agenteach Offering.

Appears in 1 contract

Samples: Master Selected Dealer Agreement (Sandbox Entertainment Corp)

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Applicability of this Agreement. The terms and conditions of this letter agreement (this “Agreement”) shall be applicable to any public offering of securities (“Securities”), whether a public offering effected pursuant to a registration statement filed under the Securities Act of 1933, as amended (the “Securities Act”), or an offering exempt from registration thereunder (other than an offering of Securities effected wholly outside the United States of America), in respect of which Incapital LLC (“Incapital”), clearing through RBC Dain Correspondent Services (the “Account”) (acting for its own Account or for the account of any underwriting or agent or similar group or syndicate), is responsible for managing or otherwise implementing the sale (whether by acting as lead agent or manager or by facilitating the re-offer of Securities or otherwise) of the Securities to selected dealers (“Selected Dealers”) and has expressly informed you that these terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an “Offering.” In the case of any Offering where we are acting for the account of any underwriting or agent or similar group or syndicate (whether purchasing as principal for resale or soliciting as agent purchases of Securities directly from the issuer) (“Underwriters”), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives. The use of the defined term Underwriter herein shall be understood to include acting as agent.

Appears in 1 contract

Samples: Selling Agent Agreement (SLM Corp)

Applicability of this Agreement. The terms and conditions of this letter agreement (this “Agreement”) shall be applicable to any offering of securities notes (“SecuritiesNotes”), whether a public offering effected pursuant to a registration statement filed under the Securities Act of 1933, as amended (the “Securities 1933 Act”), or an offering exempt from registration thereunder (other than an offering of Securities Notes effected wholly outside the United States of America), in respect of which Incapital LLC (“Incapital”), clearing through RBC Dain Correspondent Services [[·]] (the “Account”) (acting for its own Account or for the account of any underwriting or agent or similar group or syndicate), is responsible for managing or otherwise implementing the sale (whether by acting as lead agent or manager or by facilitating the re-offer of Securities Notes or otherwise) of the Securities Notes to selected dealers (“Selected Dealers”) and has expressly informed you that these terms and conditions shall be applicable. Any such offering of Securities Notes to you as a Selected Dealer is hereinafter called an “Offering.” In the case of any Offering where we are acting for the account of any underwriting or agent or similar group or syndicate (whether purchasing as principal for resale or soliciting as agent purchases of Securities Notes directly from the issuer) (“Underwriters”), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives. The use of the defined term Underwriter herein shall be understood to include acting as agent.

Appears in 1 contract

Samples: Selling Agent Agreement (Westpac Banking Corp)

Applicability of this Agreement. The terms and conditions of this letter agreement (this “Agreement”) shall be applicable to any offering of securities ("Securities"), whether a public offering effected pursuant to a registration statement filed under the Securities Act of 1933, as amended (the "Securities Act"), or an offering exempt from registration thereunder (other than an offering of Securities effected wholly outside the United States of America), in respect of which Incapital LLC (“Incapital”), clearing through RBC Dain Correspondent Services (the "Account") (acting for its own Account or for the account of any underwriting or agent or similar group or syndicate), is responsible for managing or otherwise implementing the sale (whether by acting as lead agent or manager or by facilitating the re-offer of Securities or otherwise) of the Securities to selected dealers ("Selected Dealers") and has expressly informed you that these terms and conditions shall be applicable. Any such offering of Securities to you as a Selected Dealer is hereinafter called an "Offering." In the case of any Offering where we are acting for the account of any underwriting or agent or similar group or syndicate (whether purchasing as principal for resale or soliciting as agent purchases of Securities directly from the issuer) ("Underwriters"), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives. The use of the defined term Underwriter herein shall be understood to include acting as agent.

Appears in 1 contract

Samples: Selling Agent Agreement (HSBC Finance Corp)

Applicability of this Agreement. The terms and conditions of this letter agreement (this “Agreement”) shall be applicable to any offering of securities notes (“SecuritiesNotes”), whether a public offering effected pursuant to a registration statement filed under the Securities Act of 1933, as amended (the “Securities 1933 Act”), or an offering exempt from registration thereunder (other than an offering of Securities Notes effected wholly outside the United States of America), in respect of which Incapital LLC (“Incapital”), clearing through RBC Dain Correspondent Services [[●]] (the “Account”) (acting for its own Account or for the account of any underwriting or agent or similar group or syndicate), is responsible for managing or otherwise implementing the sale (whether by acting as lead agent or manager or by facilitating the re-offer of Securities Notes or otherwise) of the Securities Notes to selected dealers (“Selected Dealers”) and has expressly informed you that these terms and conditions shall be applicable. Any such offering of Securities Notes to you as a Selected Dealer is hereinafter called an “Offering.” In the case of any Offering where we are acting for the account of any underwriting or agent or similar group or syndicate (whether purchasing as principal for resale or soliciting as agent purchases of Securities Notes directly from the issuer) (“Underwriters”), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where we are acting with others as representatives of Underwriters, such other representatives. The use of the defined term Underwriter herein shall be understood to include acting as agent.

Appears in 1 contract

Samples: Selling Agent Agreement (Paccar Financial Corp)

Applicability of this Agreement. The terms and conditions From time to time on or after the date hereof we may be responsible (acting for our own account or for the account of this letter agreement an underwriting or similar group or syndicate) for managing or otherwise implementing the sale to selected dealers (this AgreementSelected Dealers”) shall be applicable to any offering of securities (“Securities”), whether a public offering effected offered publicly pursuant to a registration statement filed under the Securities Act of 1933, as amended (the “Securities Act”), or offered pursuant to an offering exempt exemption from registration thereunder (other than an thereunder. The terms and conditions of this Agreement shall be applicable to any such offering in which we have invited you to participate as a Selected Dealer and have expressly informed you that the terms and conditions of this Agreement shall apply. This Agreement shall not apply to any offering of Securities securities effected wholly outside the United States of America), in respect of . Any offering to which Incapital LLC (“Incapital”), clearing through RBC Dain Correspondent Services (the “Account”) (acting for its own Account or for the account of any underwriting or agent or similar group or syndicate), is responsible for managing or otherwise implementing the sale (whether by acting as lead agent or manager or by facilitating the re-offer of Securities or otherwise) of the Securities to selected dealers (“Selected Dealers”) and has expressly informed you that these terms and conditions shall be applicable. Any such offering of Securities this Agreement apply is herein referred to you as a Selected Dealer is hereinafter called an “Offering.”, and the securities offered in an Offering are herein referred to as the “Securitieswith respect to such Offering. In the case of any Offering where in which we are acting for the account of any an underwriting or agent or similar group or syndicate (whether purchasing as principal for resale or soliciting as agent purchases of Securities directly from the issuer) (“Underwriters”), the terms and conditions of this Agreement shall be for the benefit of, and binding upon, such Underwriters, including, in the case of any Offering where in which we are acting with others as representatives of Underwriters, such other representatives. The use Some or all of the defined term Underwriter herein Underwriters in any Offering may be included among the Selected Dealers. The following provisions of this Agreement shall be understood apply separately to include acting as agenteach Offering.

Appears in 1 contract

Samples: Master Selected Dealers Agreement (Tortoise Energy Capital Corp)

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