Common use of Offer and Sale to the Public Clause in Contracts

Offer and Sale to the Public. With respect to any Offering of Securities, the Purchasing Agent will inform the Selected Dealers by a Written Communication of the public offering price, the selling concession, the reallowance (if any) to dealers and the time when the Selected Dealers may commence selling Securities to the public. After such public offering has commenced, the Purchasing Agent may change the public offering price, the selling concession and the reallowance to dealers. The offering price, selling concession and reallowance (if any) to dealers at any time in effect with respect to an Offering are hereinafter referred to, respectively, as the “Public Offering Price”, the “Concession” and the “Reallowance.” With respect to each Offering of Securities, until the provisions of this Section 3(c) shall be terminated pursuant to Section 5 hereof, each Selected Dealer agrees to offer Securities to the public at no more than the Public Offering Price. If so notified by the Purchasing Agent, each Selected Dealer may sell Securities to the public at a lesser negotiated price than the Public Offering Price, but in an amount not to exceed the “Concession.” If a Reallowance is in effect, a reallowance from the Public Offering Price not in excess of such Reallowance may be allowed as consideration for services rendered in distribution to dealers who are actually engaged in the investment banking or securities business, who are either (i) members in good standing of the Financial Industry Regulatory Authority (“FINRA”) who agree to abide by the applicable rules of FINRA (and its predecessor, the National Association of Securities Dealers, Inc. (“NASD”), as applicable) (see Section 4(a) below) or (ii) foreign banks, dealers or institutions not eligible for membership in FINRA who represent to the Selected Dealers that they will promptly reoffer such Securities at the Public Offering Price and will abide by the conditions with respect to foreign banks, dealers and institutions set forth in Section 4(a) hereof.

Appears in 2 contracts

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

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Offer and Sale to the Public. With respect to any Offering of Securities, the Purchasing Agent we will inform the Selected Dealers you by a Written Communication of the public offering price, the selling concession, the reallowance (if any) to broker-dealers and the time when the Selected Dealers you may commence selling Securities to the public. After such public offering has commenced, the Purchasing Agent we may change the public offering price, the selling concession and the reallowance (if any) to broker-dealers. The offering price, selling concession and reallowance (if any) to broker-dealers at any time in effect with respect to an Offering are hereinafter referred to, respectively, as the "Public Offering Price", the "Concession" and the "Reallowance.” ". With respect to each Offering of Securities, until the provisions of this Section 3(c) shall be terminated pursuant to Section 5 hereof, each Selected Dealer agrees you agree to offer Securities to the public at no more than the Public Offering Price. If so notified by the Purchasing Agentus, each Selected Dealer you may sell Securities securities to the public at a lesser negotiated price than the Public Offering Price, but in an amount not to exceed the Concession.” . If a Reallowance is in effect, a reallowance from the Public Offering Price not in excess of such Reallowance may be allowed as consideration for services rendered in distribution to broker-dealers (i) who are actually engaged in the investment banking or securities business, (ii) who are either (iexecute the written agreement prescribed by Rule 2740(c) members in good standing of the Financial Industry Regulatory Authority (“FINRA”) who agree to abide by the applicable rules Conduct Rules of FINRA (and its predecessor, the National Association of Securities Dealers, Inc. (the "NASD”)") and (iii) who, as applicable) (see Section 4(a) below) or (ii) if they are foreign banks, broker-dealers or institutions not eligible for membership in FINRA who the NASD, represent to the Selected Dealers you that they will promptly reoffer such Securities at the Public Offering Price and will abide by the conditions with respect to foreign banks, broker-dealers and institutions set forth in Section 4(a3(e) hereof.

Appears in 2 contracts

Samples: Terms Agreement (Hancock John Life Insurance Co), Terms Agreement (Hancock John Life Insurance Co)

Offer and Sale to the Public. With respect to any Offering of Securities, the Purchasing Agent we will inform the Selected Dealers you by a Written Communication of the public offering price, the selling concession, the reallowance (if any) to dealers and the time when the Selected Dealers you may commence selling Securities to the public. After such public offering has commenced, the Purchasing Agent we may change the public offering price, the selling concession and the reallowance to dealers. The offering price, selling concession and reallowance (if any) to dealers at any time in effect with respect to an Offering are hereinafter referred to, respectively, as the “Public Offering Price”, the “Concession” and the “Reallowance.” With respect to each Offering of Securities, until the provisions of this Section 3(c) shall be terminated pursuant to Section 5 hereof, each Selected Dealer agrees you agree to offer Securities to the public at no more than the Public Offering Price. If so notified by the Purchasing Agentus, each Selected Dealer you may sell Securities to the public at a lesser negotiated price than the Public Offering Price, but in an amount not to exceed the "Concession." If a Reallowance is in effect, a reallowance from the Public Offering Price not in excess of such Reallowance may be allowed as consideration for services rendered in distribution to dealers who are actually engaged in the investment banking or securities business, who are either (i) members in good standing of the Financial Industry Regulatory Authority (“FINRA”) who agree to abide by the applicable rules of FINRA (and its predecessor, the National Association of Securities Dealers, Inc. (“NASD”), as applicable) (see Section 4(a) below) or (ii) foreign banks, dealers or institutions not eligible for membership in FINRA who represent to the Selected Dealers you that they will promptly reoffer such Securities at the Public Offering Price and will abide by the conditions with respect to foreign banks, dealers and institutions set forth in Section 4(a) hereof.. 47166115.8

Appears in 2 contracts

Samples: Selling Agent Agreement (Priority Income Fund, Inc.), Selling Agent Agreement (Priority Income Fund, Inc.)

Offer and Sale to the Public. With respect to any Offering of Securities, the Purchasing Agent we will inform the Selected Dealers you by a Written Communication of the public offering price, the selling concession, the reallowance (if any) to broker-dealers and the time when the Selected Dealers you may commence selling Securities to the public. After such public offering has commenced, the Purchasing Agent we may change the public offering price, the selling concession and the reallowance (if any) to broker-dealers. The offering price, selling concession and reallowance (if any) to broker-dealers at any time in effect with respect to an Offering are hereinafter referred to, respectively, as the “Public Offering Price”"PUBLIC OFFERING PRICE", the “Concession” "CONCESSION" and the “Reallowance.” "REALLOWANCE". With respect to each Offering of Securities, until the provisions of this Section 3(c) shall be terminated pursuant to Section 5 4 hereof, each Selected Dealer agrees you agree to offer Securities to the public at no more than the Public Offering Price. If so notified by the Purchasing Agentus, each Selected Dealer you may sell Securities securities to the public at a lesser negotiated price than the Public Offering Price, but in an amount not to exceed the Concession.” . If a Reallowance is in effect, a reallowance from the Public Offering Price not in excess of such Reallowance may be allowed as consideration for services rendered in distribution to broker-dealers (i) who are actually engaged in the investment banking or securities business, (ii) who are either (iexecute the written agreement prescribed by Rule 2740(c) members in good standing of the Financial Industry Regulatory Authority (“FINRA”) who agree to abide by the applicable rules Conduct Rules of FINRA (and its predecessor, the National Association of Securities Dealers, . Inc. (the "NASD”)") and (iii) who, as applicable) (see Section 4(a) below) or (ii) if they are foreign banks, broker-dealers or institutions not eligible for membership in FINRA who the NASD, represent to the Selected Dealers you that they will promptly reoffer such Securities at the Public Offering Price and will abide by the conditions with respect to foreign banks, broker-dealers and institutions set forth in Section 4(a3(e) hereof.

Appears in 1 contract

Samples: General Motors Acceptance Corp

Offer and Sale to the Public. With respect to any Offering of Securities, the Purchasing Agent we will inform the Selected Dealers you by a Written Communication of the public offering price, the selling concession, the reallowance (if any) to dealers and the time when the Selected Dealers you may commence selling Securities to the public. After such public offering has commenced, the Purchasing Agent we may change the public offering price, the selling concession and the reallowance to dealers. The offering price, selling concession and reallowance (if any) to dealers at any time in effect with respect to an Offering are hereinafter referred to, respectively, as the “Public Offering Price”, the “Concession” and the “Reallowance.” ”. With respect to each Offering of Securities, until the provisions of this Section 3(c) shall be terminated pursuant to Section 5 hereof, each Selected Dealer agrees you agree to offer Securities to the public at no more than the Public Offering Price. If so notified by the Purchasing Agentus, each Selected Dealer you may sell Securities to the public at a lesser negotiated price than the Public Offering Price, but in an amount not to exceed the “Concession.” If a Reallowance is in effect, a reallowance from the Public Offering Price not in excess of such Reallowance may be allowed as consideration for services rendered in distribution to dealers who are actually engaged in the investment banking or securities business, who are either (i) members in good standing of the Financial Industry Regulatory Authority (“FINRA”) who agree to abide by the applicable rules of FINRA (and its predecessor, former the National Association of Securities Dealers, Inc. (“NASD”), as applicable) who agree to abide by the applicable rules of FINRA (see Section 4(a) below) or (ii) foreign banks, dealers or institutions not eligible for membership in FINRA who represent to the Selected Dealers you that they will promptly reoffer such Securities at the Public Offering Price and will abide by the conditions with respect to foreign banks, dealers and institutions set forth in Section 4(a) hereof.

Appears in 1 contract

Samples: Selling Agent Agreement (Dow Chemical Co /De/)

Offer and Sale to the Public. With respect to any Offering of Securities, the Purchasing Agent we will inform the Selected Dealers you by a Written Communication of the public offering price, the selling concession, the reallowance (if any) to dealers and the time when the Selected Dealers you may commence selling Securities to the public. After such public offering has commenced, the Purchasing Agent we may change the public offering price, the selling concession and the reallowance to dealers. The offering price, selling concession and reallowance (if any) to dealers at any time in effect with respect to an Offering are hereinafter referred to, respectively, as the “Public Offering Price”, the “Concession” and the “Reallowance.” ”. With respect to each Offering of Securities, until the provisions of this Section 3(c) shall be terminated pursuant to Section 5 4 hereof, each Selected Dealer agrees you agree to offer Securities to the public at no more than the Public Offering Price. If so notified by the Purchasing Agentus, each Selected Dealer you may sell Securities to the public at a lesser negotiated price than the Public Offering Price, but in an amount not to exceed the “Concession.” If a Reallowance is in effect, a reallowance from the Public Offering Price not in excess of such Reallowance may be allowed as consideration for services rendered in distribution to dealers who are actually engaged in the investment banking or securities business, who are either (i) members in good standing execute the written agreement prescribed by Rule 2740 of the Financial Industry Regulatory Authority (“FINRA”) who agree to abide by the applicable rules Conduct Rules of FINRA (and its predecessor, the National Association of Securities Dealers, Inc. (the “NASD”), as applicable) (see Section 4(a) below) and who are either members in good standing of the NASD or (ii) foreign banks, dealers or institutions not eligible for membership in FINRA the NASD who represent to the Selected Dealers you that they will promptly reoffer such Securities at the Public Offering Price and will abide by the conditions with respect to foreign banks, dealers and institutions set forth in Section 4(a3(e) hereof.

Appears in 1 contract

Samples: Underwriting Agreement (Bond Trust Products LLC)

Offer and Sale to the Public. With respect to any Offering of Securities, the Purchasing Agent will we shall inform the Selected Dealers you by a Written Communication written communication of the initial public offering price, if any, the selling concessionconcession to Selected Dealers, the reallowance (if any) to other dealers and the time when the Selected Dealers you may commence selling Securities to the public. After such public offering has commenced, the Purchasing Agent we may change the public offering price, the selling concession and the reallowance to dealersreallowance. The public offering price, selling concession and reallowance (if any) to dealers at any time in effect with respect to an Offering are hereinafter referred to, respectively, as the “Public "Offering Price”, ," the "Concession" and the "Reallowance." With respect to each Offering of Securities, until the provisions of this Section 3(c3(b) shall be terminated pursuant to Section 5 4 hereof, each Selected Dealer agrees you agree to offer Securities to the public only at no more than the Public Offering Price. If so notified by the Purchasing Agent, each Selected Dealer may sell Securities to the public at a lesser negotiated price than the Public Offering Price, but in an amount not to exceed the “Concession.” If except that if a Reallowance is in effect, a reallowance from the Public Offering Price not in excess of such Reallowance may be allowed. If such Offering is subject to the By-Laws, rules and regulations of the National Association of Securities Dealers, Inc. (the "NASD"), such Reallowance may be allowed only as consideration for services rendered in distribution to dealers who which are actually engaged in the investment banking or securities business, who which execute the written agreement prescribed by Section 24(c) of Article III of the Rules of Fair Practice of the NASD and which are either (i) members in good standing of the Financial Industry Regulatory Authority (“FINRA”) who agree to abide by the applicable rules of FINRA (and its predecessor, the National Association of Securities Dealers, Inc. (“NASD”), as applicable) (see Section 4(a) below) NASD or (ii) are foreign banks, dealers or institutions not eligible for membership in FINRA the NASD who represent to the Selected Dealers you that they will promptly reoffer such Securities at the Public Offering Price and will abide by the conditions with respect to foreign banks, dealers and institutions set forth in Section 4(a3(d) hereof. Any dealer which is allowed any Reallowance hereby agrees that such amount will be retained and not reallowed in whole or in part. Upon our request, you will advise us of the identity of any dealer to which you allowed a Reallowance and any Underwriter or dealer from which you received a Reallowance.

Appears in 1 contract

Samples: Master Selected Dealer Agreement (Medallion Financial Corp)

Offer and Sale to the Public. With respect to any Offering of Securities, the Purchasing Agent we will inform the Selected Dealers you by a Written Communication of the public offering price, the selling concession, the reallowance (if any) to broker-dealers and the time when the Selected Dealers you may commence selling Securities to the public. After such public offering has commenced, the Purchasing Agent we may change the public offering price, the selling concession and the reallowance (if any) to broker-dealers. The offering price, selling concession and reallowance (if any) to broker-dealers at any time in effect with respect to an Offering are hereinafter referred to, respectively, as the “Public Offering Price”"PUBLIC OFFERING PRICE", the “Concession” "CONCESSION" and the “Reallowance.” "REALLOWANCE". With respect to each Offering of Securities, until the provisions of this Section 3(c) shall be terminated pursuant to Section 5 hereof, each Selected Dealer agrees you agree to offer Securities to the public at no more than the Public Offering Price. If so notified by the Purchasing Agentus, each Selected Dealer you may sell Securities securities to the public at a lesser E-3 negotiated price than the Public Offering Price, but in an amount not to exceed the Concession.” . If a Reallowance is in effect, a reallowance from the Public Offering Price not in excess of such Reallowance may be allowed as consideration for services rendered in distribution to broker-dealers (i) who are actually engaged in the investment banking or securities business, (ii) who are either (iexecute the written agreement prescribed by Rule 2740(c) members in good standing of the Financial Industry Regulatory Authority (“FINRA”) who agree to abide by the applicable rules Conduct Rules of FINRA (and its predecessor, the National Association of Securities Dealers, . Inc. (the "NASD”)") and (iii) who, as applicable) (see Section 4(a) below) or (ii) if they are foreign banks, broker-dealers or institutions not eligible for membership in FINRA who the NASD, represent to the Selected Dealers you that they will promptly reoffer such Securities at the Public Offering Price and will abide by the conditions with respect to foreign banks, broker-dealers and institutions set forth in Section 4(a3(e) hereof.

Appears in 1 contract

Samples: Selling Agent Agreement (International Business Machines Corp)

Offer and Sale to the Public. With respect to any Offering of Securities, the Purchasing Agent we will inform the Selected Dealers you by a Written Communication of the public offering price, the selling concession, the reallowance (if any) to dealers and the time when the Selected Dealers you may commence selling Securities to the public. After such public offering has commenced, the Purchasing Agent we may change the public offering price, the selling concession and the reallowance to dealers. The offering price, selling concession and reallowance (if any) to dealers at any time in effect with respect to an Offering are hereinafter referred to, respectively, as the “Public Offering Price”, the “Concession” and the “Reallowance.” With respect to each Offering of Securities, until the provisions of this Section 3(c) shall be terminated pursuant to Section 5 hereof, each Selected Dealer agrees you agree to offer Securities to the public at no more than the Public Offering Price. If so notified by the Purchasing Agentus, each Selected Dealer you may sell Securities to the public at a lesser negotiated price than the Public Offering Price, but in an amount not to exceed the “Concession.” If a Reallowance is in effect, a reallowance from the Public Offering Price not in excess of such Reallowance may be allowed as consideration for services rendered in distribution to dealers who are actually engaged in the investment banking or securities business, who are either (i) members in good standing of the Financial Industry Regulatory Authority Association (“FINRA”) who agree to abide by the applicable rules of FINRA (and its predecessor, the National Association of Securities Dealers, Inc. (“NASD”), as applicable) (see Section 4(a) below) or (ii) foreign banks, dealers or institutions not eligible for membership in FINRA who represent to the Selected Dealers you that they will promptly reoffer such Securities at the Public Offering Price and will abide by the conditions with respect to foreign banks, dealers and institutions set forth in Section 4(a) hereof.

Appears in 1 contract

Samples: Selling Agent Agreement (SLM Corp)

Offer and Sale to the Public. With respect to any Offering of Securities, the Purchasing Agent will we shall inform the Selected Dealers you by a Written Communication written communication of the initial public offering price, if any, the selling concessionconcession to Selected Dealers, the reallowance (if any) to other dealers and the time when the Selected Dealers you may commence selling Securities to the public. After such public offering has commenced, the Purchasing Agent we may change the public offering price, the selling concession and the reallowance to dealersreallowance. The public offering price, selling concession and reallowance (if any) to dealers at any time in effect with respect to an Offering are hereinafter referred to, respectively, as the “Public "Offering Price”, ," the "Concession" and the "Reallowance." With respect to each Offering of Securities, until the provisions of this Section 3(c3(b) shall be terminated pursuant to Section 5 4 hereof, each Selected Dealer agrees you agree to offer Securities to the public only at no more than the Public Offering Price. If so notified by the Purchasing Agent, each Selected Dealer may sell Securities to the public at a lesser negotiated price than the Public Offering Price, but in an amount not to exceed the “Concession.” If except that if a Reallowance is in effect, a reallowance from the Public Offering Price not in excess of such Reallowance may be allowed. If such Offering is subject to the Conduct Rules (together with applicable interpretations thereunder, the "NASD Conduct Rules") of the National Association of Securities Dealers, Inc. (the "NASD"), such Reallowance may be allowed only as consideration for services rendered in distribution to dealers who which are actually engaged in the investment banking or securities business, who which execute the written agreement prescribed by Rule 2740(c) of the NASD Conduct Rules and which are either (i) members in good standing of the Financial Industry Regulatory Authority (“FINRA”) who agree to abide by the applicable rules of FINRA (and its predecessor, the National Association of Securities Dealers, Inc. (“NASD”), as applicable) (see Section 4(a) below) NASD or (ii) are foreign banks, dealers or institutions not eligible for membership in FINRA the NASD who represent to the Selected Dealers you that they will promptly reoffer such Securities at the Public Offering Price and will abide by the conditions with respect to foreign banks, dealers and institutions set forth in Section 4(a3(d) hereof.. Any dealer which is allowed any Reallowance hereby agrees that such amount will be retained and not reallowed in whole or in

Appears in 1 contract

Samples: Tortoise Energy Infrastructure Corp

Offer and Sale to the Public. With respect to any Offering of Securities, the Purchasing Agent we will inform the Selected Dealers you by a Written Communication of the public offering price, the selling concession, the reallowance (if any) to dealers and the time when the Selected Dealers you may commence selling Securities to the public. After such public offering has commenced, the Purchasing Agent we may change the public offering price, the selling concession and the reallowance to dealers. The offering price, selling concession and reallowance (if any) to dealers at any time in effect with respect to an Offering are hereinafter referred to, respectively, as the “Public Offering Price”, the “Concession” and the “Reallowance.” ”. With respect to each Offering of Securities, until the provisions of this Section 3(c) shall be terminated pursuant to Section 5 4 hereof, each Selected Dealer agrees you agree to offer Securities to the public at no more than the Public Offering Price. If so notified by the Purchasing Agentus, each Selected Dealer you may sell Securities to the public at a lesser negotiated price than the Public Offering Price, but in an amount not to exceed the “Concession.” If a Reallowance is in effect, a reallowance from the Public Offering Price not in excess of such Reallowance may be allowed as consideration for services rendered in distribution to dealers who are actually engaged in the investment banking or securities business, who are either (iexecute the written agreement prescribed by section 24(c) members in good standing of Article III of the Financial Industry Regulatory Authority (“FINRA”) who agree to abide by the applicable rules Rules of FINRA (and its predecessor, Fair Practice of the National Association of Securities Dealers, Inc. (the “NASD”), as applicable) (see Section 4(a) below) and who are either members in good standing of the NASD or (ii) foreign banks, dealers or institutions not eligible for membership in FINRA the NASD who represent to the Selected Dealers you that they will promptly reoffer such Securities at the Public Offering Price and will abide by the conditions with respect to foreign banks, dealers and institutions set forth in Section 4(a3(e) hereof. Over-allotment; Stabilization; Unsold Allotments. We may, with respect to any Offering, be authorized to over-allot in arranging sales to Selected Dealers, to purchase and sell Securities for long or short account and to stabilize or maintain the market price of the Securities. You agree that, upon our request at any time and from time to time prior to the termination of the provisions of Section 3(c) hereof with respect to any Offering, you will report to us the amount of Securities purchased by you pursuant to such Offering which then remain unsold by you and will, upon our request at any such time, sell to us for our account or the account of one or more Underwriters such amount of such unsold Securities as we may designate at the Public Offering Price less an amount to be determined by us not in excess of the Concession. If, prior to the later of (i) the termination of the provisions of Section 3(c) hereof with respect to any Offering or (ii) the covering by us of any short position created by us in connection with such Offering for our account or the account of one or more Underwriters, we purchase or contract to purchase for our account or the account of one or more Underwriters in the open market or otherwise any Securities purchased by you under this Agreement as part of such Offering, you agree to pay us on demand an amount equal to the Concession with respect to such Securities (unless you shall have purchased such Securities pursuant to Section 2 hereof at the Public Offering Price in which case we shall not be obligated to pay such Concession to you pursuant to Section 2) plus transfer taxes and broker’s commissions or dealer’s mark-up, if any, paid in connection with such purchase or contract to purchase.

Appears in 1 contract

Samples: Selling Agent Agreement (General Electric Capital Corp)

Offer and Sale to the Public. With respect to any Offering of Securities, the Purchasing Agent we will inform the Selected Dealers you by a Written Communication of the public offering price, the selling concession, the reallowance (if any) to broker-dealers and the time when the Selected Dealers you may commence selling Securities to the public. After such public offering has commenced, the Purchasing Agent we may change the public offering price, the selling concession and the reallowance (if any) to broker-dealers. The offering price, selling concession and reallowance (if any) to broker-dealers at any time in effect with respect to an Offering are hereinafter referred to, respectively, as the “Public Offering Price”, the “Concession” and the “Reallowance.” ”. With respect to each Offering of Securities, until the provisions of this Section 3(c) shall be terminated pursuant to Section 5 hereof, each Selected Dealer agrees you agree to offer Securities to the public at no more than the Public Offering Price. If so notified by the Purchasing Agentus, each Selected Dealer you may sell Securities securities to the public at a lesser negotiated price than the Public Offering Price, but in an amount not to exceed the Concession.” . If a Reallowance is in effect, a reallowance from the Public Offering Price not in excess of such Reallowance may be allowed as consideration for services rendered in distribution to broker-dealers (i) who are actually engaged in the investment banking or securities business, (ii) who are either (iexecute the written agreement prescribed by Rule 2740(c) members in good standing of the Financial Industry Regulatory Authority (“FINRA”) who agree to abide by the applicable rules Conduct Rules of FINRA (and its predecessor, the National Association of Securities Dealers, Inc. (the "NASD”)") and (iii) who, as applicable) (see Section 4(a) below) or (ii) if they are foreign banks, broker-dealers or institutions not eligible for membership in FINRA who the NASD, represent to the Selected Dealers you that they will promptly reoffer such Securities at the Public Offering Price and will abide by the conditions with respect to foreign banks, broker-dealers and institutions set forth in Section 4(a3(e) hereof.

Appears in 1 contract

Samples: Abn Amro Bank Nv

Offer and Sale to the Public. With respect to any Offering of Securities, the Purchasing Agent we will inform the Selected Dealers you by a Written Communication of the public offering price, the selling concession, the reallowance (if any) to dealers and the time when the Selected Dealers you may commence selling Securities to the public. After such public offering has commenced, the Purchasing Agent we may change the public offering price, the selling concession and the reallowance to dealers. The offering price, selling concession and reallowance (if any) to dealers at any time in effect with respect to an Offering are hereinafter referred to, respectively, as the “Public Offering Price”, the “Concession” and the “Reallowance.” With respect to each Offering of Securities, until the provisions of this Section 3(c) shall be terminated pursuant to Section 5 hereof, each Selected Dealer agrees you agree to offer Securities to the public at no more than the Public Offering Price. If so notified by the Purchasing Agentus, each Selected Dealer you may sell Securities to the public at a lesser negotiated price than the Public Offering Price, but in an amount not to exceed the “Concession.” If a Reallowance is in effect, a reallowance from the Public Offering Price not in excess of such Reallowance may be allowed as consideration for services rendered in distribution to dealers who are actually engaged in the investment banking or securities business, who are either (i) members in good standing of the Financial Industry Regulatory Authority (“FINRA”) who agree to abide by the applicable rules of FINRA (and its predecessor, the National Association of Securities Dealers, Inc. (“NASD”), as applicable) (see Section 4(a) below) or (ii) foreign banks, dealers or institutions not eligible for membership in FINRA who that represent to the Selected Dealers you that they will promptly reoffer such Securities at the Public Offering Price and will abide by the conditions with respect to foreign banks, dealers and institutions set forth in Section 4(a) hereof.

Appears in 1 contract

Samples: Selling Agent Agreement (Discover Financial Services)

Offer and Sale to the Public. With respect to any Offering of Securities, the Purchasing Agent we will inform the Selected Dealers you by a Written Communication of the public offering price, the selling concession, the reallowance (if any) to dealers and the time when the Selected Dealers you may commence selling Securities to the public. After such public offering has commenced, the Purchasing Agent we may change the public offering price, the selling concession and the reallowance to dealers. The offering price, selling concession and reallowance (if any) to dealers at any time in effect with respect to an Offering are hereinafter referred to, respectively, as the “Public Offering Price”, the “Concession” and the “Reallowance.” ”. With respect to each Offering of Securities, until the provisions of this Section 3(c) shall be terminated pursuant to Section 5 4 hereof, each Selected Dealer agrees you agree to offer Securities to the public at no more than the Public Offering Price. If so notified by the Purchasing Agentus, each Selected Dealer you may sell Securities to the public at a lesser negotiated price than the Public Offering Price, but in an amount not to exceed the “Concession.” If a Reallowance is in effect, a reallowance from the Public Offering Price not in excess of such Reallowance may be allowed as consideration for services rendered in distribution to dealers who are actually engaged in the investment banking or securities business, who are either (iexecute the written agreement prescribed by section 24(c) members in good standing of Article III of the Financial Industry Regulatory Authority (“FINRA”) who agree to abide by the applicable rules Rules of FINRA (and its predecessor, Fair Practice of the National Association of Securities Dealers, Inc. (the “NASD”), as applicable) (see Section 4(a) below) and who are either members in good standing of the NASD or (ii) foreign banks, dealers or institutions not eligible for membership in FINRA the NASD who represent to the Selected Dealers you that they will promptly reoffer such Securities at the Public Offering Price and will abide by the conditions with respect to foreign banks, dealers and institutions set forth in Section 4(a3(e) hereof.

Appears in 1 contract

Samples: Selling Agent Agreement (Dow Chemical Co /De/)

Offer and Sale to the Public. With respect to any Offering of Securities, the Purchasing Agent we will inform the Selected Dealers you by a Written Communication of the public offering price, the selling concession, the reallowance (if any) to broker-dealers and the time when the Selected Dealers you may commence selling Securities to the public. After such public offering has commenced, the Purchasing Agent we may change the public offering price, the selling concession and the reallowance (if any) to broker-dealers. The offering price, selling concession and reallowance (if any) to broker-dealers at any time in effect with respect to an Offering are hereinafter referred to, respectively, as the “Public Offering Price”, the “Concession” and the “Reallowance.” ”. With respect to each Offering of Securities, until the provisions of this Section 3(c) shall be terminated pursuant to Section 5 4 hereof, each Selected Dealer agrees you agree to offer Securities to the public at no more than the Public Offering Price. If so notified by the Purchasing Agentus, each Selected Dealer you may sell Securities securities to the public at a lesser negotiated price than the Public Offering Price, but in an amount not to exceed the Concession.” . If a Reallowance is in effect, a reallowance from the Public Offering Price not in excess of such Reallowance may be allowed as consideration for services rendered in distribution to broker-dealers (i) who are actually engaged in the investment banking or securities business, (ii) who are either (iexecute the written agreement prescribed by Rule 2740(c) members in good standing of the Financial Industry Regulatory Authority (“FINRA”) who agree to abide by the applicable rules Conduct Rules of FINRA (and its predecessor, the National Association of Securities Dealers, . Inc. (the “NASD”)) and (iii) who, as applicable) (see Section 4(a) below) or (ii) if they are foreign banks, broker-dealers or institutions not eligible for membership in FINRA who the NASD, represent to the Selected Dealers you that they will promptly reoffer such Securities at the Public Offering Price and will abide by the conditions with respect to foreign banks, broker-dealers and institutions set forth in Section 4(a3(e) hereof.

Appears in 1 contract

Samples: Terms Agreement (Gmac LLC)

Offer and Sale to the Public. With respect to any Offering of Securities, the Purchasing Agent will inform the Selected Dealers by a Written Communication of the public offering price, the selling concession, the reallowance (if any) to dealers and the time when the Selected Dealers may commence selling Securities to the public. After such public offering has commenced, the Purchasing Agent may change the public offering price, the selling concession and the reallowance to dealers. The offering price, selling concession and reallowance (if any) to dealers at any time in effect with respect to an Offering are hereinafter referred to, respectively, as the “Public Offering Price”, the “Concession” and the “Reallowance.” ”. With respect to each Offering of Securities, until the provisions of this Section 3(c) shall be terminated pursuant to Section 5 4 hereof, each the Selected Dealer agrees Dealers agree to offer Securities to the public at no more than the Public Offering Price. If so notified by the Purchasing Agent, each the Selected Dealer Dealers may sell Securities to the public at a lesser negotiated price than the Public Offering Price, but in an amount not to exceed the “Concession.” ”. If a Reallowance is in effect, a reallowance from the Public Offering Price not in excess of such Reallowance may be allowed as consideration for services rendered in distribution to dealers who are actually engaged in the investment banking or securities business, who execute the written agreement prescribed by Rule 2740 of the Conduct Rules of the Financial Industry Regulatory Authority, Inc. (the “FINRA”) and who are either (i) members in good standing of the Financial Industry Regulatory Authority (“FINRA”) who agree to abide by the applicable rules of FINRA (and its predecessor, the National Association of Securities Dealers, Inc. (“NASD”), as applicable) (see Section 4(a) below) or (ii) foreign banks, dealers or institutions not eligible for membership in the FINRA who represent to the Selected Dealers Dealer that they will promptly reoffer such Securities at the Public Offering Price and will abide by the conditions with respect to foreign banks, dealers and institutions set forth in Section 4(a3(e) hereof.

Appears in 1 contract

Samples: Selling Agent Agreement (Prudential Financial Capital Trust Iii)

Offer and Sale to the Public. With respect to any Offering of Securities, the Purchasing Agent will we shall inform the Selected Dealers you by a Written Communication written communication of the initial public offering price, if any, the selling concessionconcession to Selected Dealers, the reallowance (if any) to other dealers and the time when the Selected Dealers you may commence selling Securities to the public. After such public offering has commenced, the Purchasing Agent we may change the public offering price, the selling concession and the reallowance to dealersreallowance. The offering price, selling concession and reallowance (if any) to dealers at any time in effect with respect to an Offering are hereinafter referred to, respectively, as the "Public Offering Price", the "Concession" and the "Reallowance.” ". With respect to each Offering of Securities, until the provisions of this Section 3(c) shall be terminated pursuant to Section 5 4 hereof, each Selected Dealer agrees you agree to offer Securities to the public only at no more than the Public Offering Price. If so notified by the Purchasing Agent, each Selected Dealer may sell Securities to the public at a lesser negotiated price than the Public Offering Price, but except that if a Reallowance is in an amount effect, a reallowance from the Public Offering Price not to exceed the “Concession.” If a in excess of such Reallowance is in effect, a reallowance from the Public Offering Price not in excess of such Reallowance may be allowed. If such Offering is subject to the By-Laws, rules and regulations of the National Association of Securities Dealers, Inc. (the "NASD"), such Reallowance may be allowed only as consideration for services rendered in distribution to dealers who are actually engaged in the investment banking or securities business, who execute the written argument prescribed by Section 24(c) of Article III of the Rules of Fair Practice of the NASD and who are either (i) members in good standing of the Financial Industry Regulatory Authority (“FINRA”) who agree to abide by the applicable rules of FINRA (and its predecessor, the National Association of Securities Dealers, Inc. (“NASD”), as applicable) (see Section 4(a) below) NASD or (ii) are foreign banks, dealers or institutions not eligible for membership in FINRA the NASD who represent to the Selected Dealers you that they will promptly reoffer such Securities at the Public Offering Price and will abide by the conditions with respect to foreign banks, dealers and institutions set forth in Section 4(a3(e) hereof. Any dealer who is allowed any Reallowance hereby agrees that such amount will be retained and not reallowed in whole or in part. Upon our request, you will advise us of the identity of any dealer to whom you allowed a Reallowance and any Underwriter or dealer from whom you received a Reallowance. In connection with any Offering involving the public distribution of the Securities through two or more underwriting syndicates, you agree to be bound by, and all offers to sell and sales by you of Securities shall be subject to, such limitations on offers to sell and sales of Securities as we may advise you in a written communication, and you agree that any sales made by you to other dealers shall be made only to such dealers as agree, in their offers to sell and sales, to be bound by the same limitations.

Appears in 1 contract

Samples: Master Selected Dealer Agreement (Sandbox Entertainment Corp)

Offer and Sale to the Public. With respect to any Offering of Securities, the Purchasing Agent we will inform the Selected Dealers you by a Written Communication of the public offering price, the selling concession, the reallowance xxx xxxxxxxxxxx (if anyxx xxx) to dealers and the time when the Selected Dealers you may commence selling Securities to the public. After such public offering has commenced, the Purchasing Agent we may change the public offering price, the selling concession and the reallowance to dealers. The offering price, selling concession and reallowance (if any) to dealers at any time in effect with respect to an Offering are hereinafter referred to, respectively, as the “Public Offering Price”"PUBLIC OFFERING PRICE", the “Concession” "CONCESSION" and the “Reallowance.” "REALLOWANCE". With respect to each Offering of Securities, until the provisions of this Section 3(c) shall be terminated pursuant to Section 5 4 hereof, each Selected Dealer agrees you agree to offer Securities to the public at no more than the Public Offering Price. If so notified by the Purchasing Agentus, each Selected Dealer you may sell Securities securities to the public at a lesser negotiated price than the Public Offering Price, but in an amount not to exceed the Concession.” . If a Reallowance is in effect, a reallowance from the Public Offering Price not in excess of such Reallowance may be allowed as consideration for services rendered in distribution to dealers who are actually engaged in the investment banking or securities business, who execute the written agreement prescribed by Rule 2740(c) of the Conduct Rules of the National Association of Securities Dealers. Inc. (the "NASD") and who are either (i) members in good standing of the Financial Industry Regulatory Authority (“FINRA”) who agree to abide by the applicable rules of FINRA (and its predecessor, the National Association of Securities Dealers, Inc. (“NASD”), as applicable) (see Section 4(a) below) NASD or (ii) foreign banks, dealers or institutions not eligible for membership in FINRA the NASD who represent to the Selected Dealers you that they will promptly reoffer such Securities at the Public Offering Price and will abide by the conditions with respect to foreign banks, dealers and institutions set forth in Section 4(a3(e) hereof.

Appears in 1 contract

Samples: United Parcel Service Inc

Offer and Sale to the Public. With respect to any Offering of Securities, the Purchasing Agent we will inform the Selected Dealers you by a Written Communication of the public offering price, the selling concession, the reallowance (if any) to broker-dealers and the time when the Selected Dealers you may commence selling Securities to the public. After such public offering has commenced, the Purchasing Agent we may change the public offering price, the selling concession and the reallowance (if any) to broker-dealers. The offering price, selling concession and reallowance (if any) to broker-dealers at any time in effect with respect to an Offering are hereinafter referred to, respectively, as the "Public Offering Price", the "Concession" and the "Reallowance.” ". With respect to each Offering of Securities, until the provisions of this Section 3(c) shall be terminated pursuant to Section 5 hereof, each Selected Dealer agrees you agree to offer Securities to the public at no more than the Public Offering Price. If so notified by the Purchasing Agentus, each Selected Dealer you may sell Securities securities to the public at a lesser negotiated price than the Public Offering Price, but in an amount not to exceed the Concession.” . If a Reallowance is in effect, a reallowance from the Public Offering Price not in excess of such Reallowance may be allowed as consideration for services rendered in distribution to broker-dealers (i) who are actually engaged in the investment banking or securities business, (ii) who are either (iexecute the written agreement prescribed by NASD Rule 2740(c) members in good standing of the Conduct Rules of the Financial Industry Regulatory Authority Authority, Inc. (“FINRA”) who agree to abide by the applicable rules of FINRA (and its predecessor, f/k/a the National Association of Securities Dealers, Inc. (the "NASD")) and (iii) who, as applicable) (see Section 4(a) below) or (ii) if they are foreign banks, broker-dealers or institutions not eligible for membership in FINRA who FINRA, represent to the Selected Dealers you that they will promptly reoffer such Securities at the Public Offering Price and will abide by the conditions with respect to foreign banks, broker-dealers and institutions set forth in Section 4(a3(e) hereof.

Appears in 1 contract

Samples: Distribution Agreement (Royal Bank of Scotland Group PLC)

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Offer and Sale to the Public. With respect to any Offering of Securities, the Purchasing Agent we will inform the Selected Dealers you by a Written Communication of the public offering price, the selling concession, the reallowance (if any) to dealers and the time when the Selected Dealers you may commence selling Securities to the public. After such public offering has commenced, the Purchasing Agent we may change the public offering price, the selling concession and the reallowance to dealers. The offering price, selling concession and reallowance (if any) to dealers at any time in effect with respect to an Offering are hereinafter referred to, respectively, as the "Public Offering Price”, ," the "Concession" and the "Reallowance." With respect to each Offering of Securities, until the provisions of this Section 3(c) shall be terminated pursuant to Section 5 hereof, each Selected Dealer agrees you agree to offer Securities to the public at no more than the Public Offering Price. If so notified by the Purchasing Agentus, each Selected Dealer you may sell Securities to the public at a lesser negotiated price than the Public Offering Price, but in an amount not to exceed the "Concession." If a Reallowance is in effect, a reallowance from the Public Offering Price not in CHI99 4594812-9.021110.0014 excess of such Reallowance may be allowed as consideration for services rendered in distribution to dealers who are actually engaged in the investment banking or securities business, who are either (i) members in good standing of the Financial Industry Regulatory Authority (“FINRA”) who agree to abide by the applicable rules of FINRA (and its predecessor, FINRA”)(former the National Association of Securities Dealers, Inc. (“NASD”), as applicable) who agree to abide by the applicable rules of FINRA (see Section 4(a) below) or (ii) foreign banks, dealers or institutions not eligible for membership in FINRA who represent to the Selected Dealers you that they will promptly reoffer such Securities at the Public Offering Price and will abide by the conditions with respect to foreign banks, dealers and institutions set forth in Section 4(a) hereof.

Appears in 1 contract

Samples: Selling Agent Agreement (HSBC Finance Corp)

Offer and Sale to the Public. With respect to any Offering of Securities, the Purchasing Agent we will inform the Selected Dealers you by a Written Communication of the public offering price, the selling concession, the reallowance (if any) to dealers and the time when the Selected Dealers you may commence selling Securities to the public. After such public offering has commenced, the Purchasing Agent we may change the public offering price, the selling concession and the reallowance to dealers. The offering price, selling concession and reallowance (if any) to dealers at any time in effect with respect to an Offering are hereinafter referred to, respectively, as the "Public Offering Price", the "Concession" and the "Reallowance.” ". With respect to each Offering of Securities, until the provisions of this Section 3(c) shall be terminated pursuant to Section 5 hereof, each Selected Dealer agrees you agree to offer Securities to the public at no more than the Public Offering Price. If so notified by the Purchasing Agentus, each Selected Dealer you may sell Securities to the public at a lesser negotiated price than the Public Offering Price, but in an amount not to exceed the CHI99 4594812-7.021110.0014 "Concession." If a Reallowance is in effect, a reallowance from the Public Offering Price not in excess of such Reallowance may be allowed as consideration for services rendered in distribution to dealers who are actually engaged in the investment banking or securities business, who are either (i) members in good standing of the Financial Industry Regulatory Authority National Association of Securities Dealers, Inc. (“FINRANASD”) who agree to abide by the applicable rules of FINRA (and its predecessor, the National Association of Securities Dealers, Inc. (“NASD”), as applicable) NASD (see Section 4(a) below) or (ii) foreign banks, dealers or institutions not eligible for membership in FINRA the NASD who represent to the Selected Dealers you that they will promptly reoffer such Securities at the Public Offering Price and will abide by the conditions with respect to foreign banks, dealers and institutions set forth in Section 4(a) hereof.

Appears in 1 contract

Samples: Selling Agent Agreement (HSBC Finance CORP)

Offer and Sale to the Public. With respect to any Offering of Securities, the Purchasing Agent we will inform the Selected Dealers you by a Written Communication of the public offering price, the selling concession, the reallowance (if any) to dealers and the time when the Selected Dealers you may commence selling Securities to the public. After such public offering has commenced, the Purchasing Agent we may change the public offering price, the selling concession and the reallowance to dealers. The offering price, selling concession and reallowance (if any) to dealers at any time in effect with respect to an Offering are hereinafter referred to, respectively, as the “Public Offering Price”, ,” the “Concession” and the “Reallowance.” With respect to each Offering of Securities, until the provisions of this Section 3(c) shall be terminated pursuant to Section 5 hereof, each Selected Dealer agrees you agree to offer Securities to the public at no more than the Public Offering Price. If so notified by the Purchasing Agentus, each Selected Dealer you may sell Securities to the public at a lesser negotiated price than the Public Offering Price, but in an amount not to exceed the “Concession.” If a Reallowance is in effect, a reallowance from the Public Offering Price not in excess of such Reallowance may be allowed as consideration for services rendered in distribution to dealers who are actually engaged in the investment banking or securities business, who are either (i) members in good standing of the Financial Industry Regulatory Authority (“FINRA”) who agree to abide by the applicable rules of FINRA (and its predecessor, former the National Association of Securities Dealers, Inc. (“NASD”), as applicable) who agree to abide by the applicable rules of FINRA (see Section 4(a) below) or (ii) foreign banks, dealers or institutions not eligible for membership in FINRA who represent to the Selected Dealers you that they will promptly reoffer such Securities at the Public Offering Price and will abide by the conditions with respect to foreign banks, dealers and institutions set forth in Section 4(a) hereof.

Appears in 1 contract

Samples: Selling Agent Agreement (Boeing Capital Corp)

Offer and Sale to the Public. With respect to any Offering of Securities, the Purchasing Agent we will inform the Selected Dealers you by a Written Communication of the public offering price, the selling concession, the reallowance (if any) to dealers and the time when the Selected Dealers you may commence selling Securities to the public. After such public offering has commenced, the Purchasing Agent we may change the public offering price, the selling concession and the reallowance to dealers. The offering price, selling concession and reallowance (if any) to dealers at any time in effect with respect to an Offering are hereinafter referred to, respectively, as the "Public Offering Price", the "Concession" and the "Reallowance.” ". With respect to each Offering of Securities, until the provisions of this Section 3(c) shall be terminated pursuant to Section 5 hereof, each Selected Dealer agrees you agree to offer Securities to the public at no more than the Public Offering Price. If so notified by the Purchasing Agentus, each Selected Dealer you may sell Securities to the public at a lesser negotiated price than the Public Offering Price, but in an amount not to exceed the "Concession.” ". If a Reallowance is in effect, a reallowance from the Public Offering Price not in excess of such Reallowance may be allowed as consideration for services rendered in distribution to dealers who are actually engaged in the investment banking or securities business, who are either (i) members in good standing execute the written agreement prescribed by Rule 2740 of the Financial Industry Regulatory Authority (“FINRA”) who agree to abide by the applicable rules Conduct Rules of FINRA (and its predecessor, the National Association of Securities Dealers, Inc. (the "NASD”), as applicable") (see Section 4(a) below) and who are either members in good standing of the NASD or (ii) foreign banks, dealers or institutions not eligible for membership in FINRA the NASD who represent to the Selected Dealers you that they will promptly reoffer such Securities at the Public Offering Price and will abide by the conditions with respect to foreign banks, dealers and institutions set forth in Section 4(a3(e) hereof.

Appears in 1 contract

Samples: Selected Dealer Agreement (Marshall & Ilsley Corp/Wi/)

Offer and Sale to the Public. With respect to any Offering of Securities, the Purchasing Agent we will inform the Selected Dealers you by a Written Communication of the public offering price, the selling concession, the reallowance (if any) to dealers and the time when the Selected Dealers you may commence selling Securities to the public. After such public offering has commenced, the Purchasing Agent we may change the public offering price, the selling concession and the reallowance to dealers. The offering price, selling concession and reallowance (if any) to dealers at any time in effect with respect to an Offering are hereinafter referred to, respectively, as the “Public Offering Price”, the “Concession” and the “Reallowance.” With respect to each Offering of Securities, until the provisions of this Section 3(c) shall be terminated pursuant to Section 5 hereof, each Selected Dealer agrees you agree to offer Securities to the public at no more than the Public Offering Price. If so notified by the Purchasing Agentus, each Selected Dealer you may sell Securities to the public at a lesser negotiated price than the Public Offering Price, but in an amount not to exceed the “Concession.” If a Reallowance is in effect, a reallowance from the Public Offering Price not in excess of such Reallowance may be allowed as consideration for services rendered in distribution to dealers who are actually engaged in the investment banking or securities business, who are either (i) members in good standing of the Financial Industry Regulatory Authority Authority, Inc. (“FINRA”) who agree to abide by the applicable rules of FINRA (and its predecessor, the National Association of Securities Dealers, Inc. (“NASD”), as applicable) (see Section 4(a) below) or (ii) foreign banks, dealers or institutions not eligible for membership in FINRA who represent to the Selected Dealers you that they will promptly reoffer such Securities at the Public Offering Price and will abide by the conditions with respect to foreign banks, dealers and institutions set forth in Section 4(a) hereof.

Appears in 1 contract

Samples: Selling Agent Agreement (Bank of America Corp /De/)

Offer and Sale to the Public. With respect to any Offering of ---------------------------- Securities, the Purchasing Agent we will inform the Selected Dealers you by a Written Communication of the public offering price, the selling concession, the reallowance (if any) to dealers and the time when the Selected Dealers you may commence selling Securities to the public. After such public offering has commenced, the Purchasing Agent we may change the public offering price, the selling concession and the reallowance to dealers. The offering price, selling concession and reallowance (if any) to dealers at any time in effect with respect to an Offering are hereinafter referred to, respectively, as the "Public Offering Price", the "Concession" and the "Reallowance.” ". With respect to each Offering of Securities, until the provisions of this Section 3(c) shall be terminated pursuant to Section 5 4 hereof, each Selected Dealer agrees you agree to offer Securities to the public at no more than the Public Offering Price. If so notified by the Purchasing Agentus, each Selected Dealer you may sell Securities securities to the public at a lesser negotiated price than the Public Offering Price, but in an amount not to exceed the Concession.” . If a Reallowance is in effect, a reallowance from the Public Offering Price not in excess of such Reallowance may be allowed as consideration for services rendered in distribution to dealers who are actually engaged in the investment banking or securities business, who execute the written agreement prescribed by Rule 2740(c) of the Conduct Rules of the National Association of Securities Dealers. Inc. (the "NASD") and who are either (i) members in good standing of the Financial Industry Regulatory Authority (“FINRA”) who agree to abide by the applicable rules of FINRA (and its predecessor, the National Association of Securities Dealers, Inc. (“NASD”), as applicable) (see Section 4(a) below) NASD or (ii) foreign banks, dealers or institutions not eligible for membership in FINRA the NASD who represent to the Selected Dealers you that they will promptly reoffer such Securities at the Public Offering Price and will abide by the conditions with respect to foreign banks, dealers and institutions set forth in Section 4(a3(e) hereof.

Appears in 1 contract

Samples: Terms Agreement (Caterpillar Financial Services Corp)

Offer and Sale to the Public. With respect to any Offering of Securities, the Purchasing Agent we will inform the Selected Dealers you by a Written Communication of the public offering price, the selling concession, the reallowance (if any) to dealers and the time when the Selected Dealers you may commence selling Securities to the public. After such public offering has commenced, the Purchasing Agent we may change the public offering price, the selling concession and the reallowance to dealers. The offering price, selling concession and reallowance (if any) to dealers at any time in effect with respect to an Offering are hereinafter referred to, respectively, as the “Public Offering Price”, the “Concession” and the “Reallowance.” ”. With respect to each Offering of Securities, until the provisions of this Section 3(c) shall be terminated pursuant to Section 5 hereof, each Selected Dealer agrees you agree to offer Securities to the public at no more than the Public Offering Price. If so notified by the Purchasing Agentus, each Selected Dealer you may sell Securities to the public at a lesser negotiated price than the Public Offering Price, but in an amount not to exceed the “Concession.” If a Reallowance is in effect, a reallowance from the Public Offering Price not in excess of such Reallowance may be allowed as consideration for services rendered in distribution to dealers who are actually engaged in the investment banking or securities business, who are either (i) members in good standing of the Financial Industry Regulatory Authority National Association of Securities Dealers, Inc. (“FINRANASD”) who agree to abide by the applicable rules of FINRA (and its predecessor, the National Association of Securities Dealers, Inc. (“NASD”), as applicable) NASD (see Section 4(a) below) or (ii) foreign banks, dealers or institutions not eligible for membership in FINRA the NASD who represent to the Selected Dealers you that they will promptly reoffer such Securities at the Public Offering Price and will abide by the conditions with respect to foreign banks, dealers and institutions set forth in Section 4(a) hereof.

Appears in 1 contract

Samples: Selling Agent Agreement (Cit Group Inc)

Offer and Sale to the Public. With respect to any Offering of Securities, the Purchasing Agent we will inform the Selected Dealers you by a Written Communication of the public offering price, the selling concession, the reallowance (if any) to dealers and the time when the Selected Dealers you may commence selling Securities to the public. After such public offering has commenced, the Purchasing Agent we may change the public offering price, the selling concession and the reallowance to dealers. The offering price, selling concession and reallowance (if any) to dealers at any time in effect with respect to an Offering are hereinafter referred to, respectively, as the "Public Offering Price", the "Concession" and the "Reallowance.” ". With respect to each Offering of Securities, until the provisions of this Section 3(c) shall be terminated pursuant to Section 5 4 hereof, each Selected Dealer agrees you agree to offer Securities to the public at no more than the Public Offering Price. If so notified by the Purchasing Agentus, each Selected Dealer you may sell Securities to the public at a lesser negotiated price than the Public Offering Price, but in an amount not to exceed the "Concession." If a Reallowance is in effect, a reallowance from the Public Offering Price not in excess of such Reallowance may be allowed as consideration for services rendered in distribution to dealers who are actually engaged in the investment banking or securities business, who are either (i) members in good standing execute the written agreement prescribed by Rule 2740 of the Financial Industry Regulatory Authority (“FINRA”) who agree to abide by the applicable rules Conduct Rules of FINRA (and its predecessor, the National Association of Securities Dealers, Inc. (the "NASD”), as applicable") (see Section 4(a) below) and who are either members in good standing of the NASD or (ii) foreign banks, dealers or institutions not eligible for membership in FINRA the NASD who represent to the Selected Dealers you that they will promptly reoffer such Securities at the Public Offering Price and will abide by the conditions with respect to foreign banks, dealers and institutions set forth in Section 4(a3(e) hereof.

Appears in 1 contract

Samples: Selling Agent Agreement (Bank of America Corp /De/)

Offer and Sale to the Public. With respect to any Offering of Securities, the Purchasing Agent we will inform the Selected Dealers you by a Written Communication of the public offering price, the selling concession, the reallowance (if any) to dealers and the time when the Selected Dealers you may commence selling Securities to the public. After such public offering has commenced, the Purchasing Agent we may change the public offering price, the selling concession and the reallowance to dealers. The offering price, selling concession and reallowance (if any) to dealers at any time in effect with respect to an Offering are hereinafter referred to, respectively, as the “Public Offering Price”, ,” the “Concession” and the “Reallowance.” With respect to each Offering of Securities, until the provisions of this Section 3(c) shall be terminated pursuant to Section 5 6 hereof, each Selected Dealer agrees you agree to offer Securities to the public at no more than the Public Offering Price. If so notified by the Purchasing Agentus, each Selected Dealer you may sell Securities to the public at a lesser negotiated price than the Public Offering Price, but in an amount not to exceed the “Concession.” If a Reallowance is in effect, a reallowance from the Public Offering Price not in excess of such Reallowance may be allowed as consideration for services rendered in distribution to dealers who are actually engaged in the investment banking or securities business, who are either (i) members in good standing of the Financial Industry Regulatory Authority (“FINRA”) who agree to abide by the applicable rules of FINRA (and its predecessor, the National Association of Securities Dealers, Inc. (“NASD”), as applicable) (see Section 4(a) below) or (ii) foreign banks, dealers or institutions not eligible for membership in FINRA who represent to the Selected Dealers you that they will promptly reoffer such Securities at the Public Offering Price and will abide by the conditions with respect to foreign banks, dealers and institutions set forth in Section 4(a) hereof.

Appears in 1 contract

Samples: Selling Agent Agreement (Verizon Communications Inc)

Offer and Sale to the Public. With respect to any Offering of Securities, the Purchasing Agent we will inform the Selected Dealers you by a Written Communication of the public offering price, the selling concession, the reallowance (if any) to dealers and the time when the Selected Dealers you may commence selling Securities to the public. After such public offering has commenced, the Purchasing Agent we may change the public offering price, the selling concession and the reallowance to dealers. The offering price, selling concession and reallowance (if any) to dealers at any time in effect with respect to an Offering are hereinafter referred to, respectively, as the “Public Offering Price”, the “Concession” and the “Reallowance.” ”. With respect to each Offering of Securities, until the provisions of this Section 3(c) shall be terminated pursuant to Section 5 Sectio n 4 hereof, each Selected Dealer agrees you agree to offer Securities to the public at no more than the Public Offering Price. If so notified by the Purchasing Agentus, each Selected Dealer you may sell Securities to the public at a lesser negotiated price than the Public Offering Price, but in an amount not to exceed the “Concession.” If a Reallowance is in effect, a reallowance from the Public Offering Price not in excess of such Reallowance may be allowed as consideration for services rendered in distribution to dealers who are actually engaged in the investment banking or securities business, who are either (iexecute the written agreement prescribed by section 24(c) members in good standing of Article III of the Financial Industry Regulatory Authority (“FINRA”) who agree to abide by the applicable rules Rules of FINRA (and its predecessor, Fair Practice of the National Association of Securities Dealers, Inc. (the “NASD”), as applicable) (see Section 4(a) below) and who are either members in good standing of the NASD or (ii) foreign banks, dealers or institutions not eligible for membership in FINRA the NASD who represent to the Selected Dealers you that they will promptly reoffer such Securities at the Public Offering Price and will abide by the conditions with respect to foreign banks, dealers and institutions set forth in Section 4(a3(e) hereof.

Appears in 1 contract

Samples: Selling Agent Agreement (Bond Trust Products LLC)

Offer and Sale to the Public. With respect to any Offering of Securities, the Purchasing Agent we will inform the Selected Dealers you by a Written Communication of the public offering price, the selling concession, the reallowance (if any) to dealers and the time when the Selected Dealers you may commence selling Securities to the public. After such public offering has commenced, the Purchasing Agent we may change the public offering price, the selling concession and the reallowance to dealers. The offering price, selling concession and reallowance (if any) to dealers at any time in effect with respect to an Offering are hereinafter referred to, respectively, as the “Public Offering Price”, the “Concession” and the “Reallowance.” ”. With respect to each Offering of Securities, until the provisions of this Section 3(c) shall be terminated pursuant to Section 5 4 hereof, each Selected Dealer agrees you agree to offer Securities to the public at no more than the Public Offering Price. If so notified by the Purchasing Agentus, each Selected Dealer you may sell Securities to the public at a lesser negotiated price than the Public Offering Price, but in an amount not to exceed the “Concession.” ”. If a Reallowance is in effect, a reallowance from the Public Offering Price not in excess of such Reallowance may be allowed as consideration for services rendered in distribution to dealers who are actually engaged in the investment banking or securities business, who execute the written agreement prescribed by Rule 2740 of the Conduct Rules of the Financial Industry Regulatory Authority, Inc. (the “FINRA”) and who are either (i) members in good standing of the Financial Industry Regulatory Authority (“FINRA”) who agree to abide by the applicable rules of FINRA (and its predecessor, the National Association of Securities Dealers, Inc. (“NASD”), as applicable) (see Section 4(a) below) or (ii) foreign banks, dealers or institutions not eligible for membership in the FINRA who represent to the Selected Dealers you that they will promptly reoffer such Securities at the Public Offering Price and will abide by the conditions with respect to foreign banks, dealers and institutions set forth in Section 4(a3(e) hereof.

Appears in 1 contract

Samples: Selling Agent Agreement (Prudential Financial Capital Trust Iii)

Offer and Sale to the Public. With respect to any Offering of Securities, the Purchasing Agent will we shall inform the Selected Dealers you by a Written Communication written communication of the initial public offering price, if any, the selling concessionconcession to Selected Dealers, the reallowance (if any) to other dealers and the time when the Selected Dealers you may commence selling Securities to the public. After such public offering has commenced, the Purchasing Agent we may change the public offering price, the selling concession and the reallowance to dealersreallowance. The public offering price, selling concession and reallowance (if any) to dealers at any time in effect with respect to an Offering are hereinafter referred to, respectively, as the “Public Offering Price”, ,” the “Concession” and the “Reallowance.” With respect to each Offering of Securities, until the provisions of this Section 3(c3(b) shall be terminated pursuant to Section 5 4 hereof, each Selected Dealer agrees you agree to offer Securities to the public only at no more than the Public Offering Price. If so notified by the Purchasing Agent, each Selected Dealer may sell Securities to the public at a lesser negotiated price than the Public Offering Price, but in an amount not to exceed the “Concession.” If except that if a Reallowance is in effect, a reallowance from the Public Offering Price not in excess of such Reallowance may be allowed. If such Offering is subject to the Conduct Rules (together with applicable interpretations thereunder, the “NASD Conduct Rules”) of the National Association of Securities Dealers, Inc. (the “NASD”), such Reallowance may be allowed only as consideration for services rendered in distribution to dealers who which are actually engaged in the investment banking or securities business, who which execute the written agreement prescribed by Rule 2740(c) of the NASD Conduct Rules and which are either (i) members in good standing of the Financial Industry Regulatory Authority (“FINRA”) who agree to abide by the applicable rules of FINRA (and its predecessor, the National Association of Securities Dealers, Inc. (“NASD”), as applicable) (see Section 4(a) below) NASD or (ii) are foreign banks, dealers or institutions not eligible for membership in FINRA the NASD who represent to the Selected Dealers you that they will promptly reoffer such Securities at the Public Offering Price and will abide by the conditions with respect to foreign banks, dealers and institutions set forth in Section 4(a3(d) hereof.. Any dealer which is allowed any Reallowance hereby agrees that such amount will be retained and not reallowed in whole or in

Appears in 1 contract

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

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