Broker-Dealer Agreement Sample Contracts

Redwood Mortgage Investors IX – [ ] Units of Limited Liability Company Interests ($1 Per Unit) REDWOOD MORTGAGE INVESTORS IX, LLC PARTICIPATING BROKER DEALER AGREEMENT (April 20th, 2016)

Redwood Mortgage Corp., a California corporation, a California corporation, is the Manager of Redwood Mortgage Investors IX, LLC, a Delaware limited liability company (the Company) engaged in business as a mortgage lender. The Company will advance funds to Redwood Mortgage Corp., a California corporation, as part of a loan (the Formation Loan) out of which Redwood Mortgage Corp. will pay sales commissions under this Agreement. The Manager, on behalf of the Company, proposes to offer and sell to qualified investors, upon the terms and subject to the conditions set forth in the Prospectus dated (the Prospectus), units of limited liability company interests (Units) of the Company at an offering price of $1 per Unit, with a minimum investment of [ ] ([ ]) Units per purchaser for initial investments and [ ] ([ ]) Units for additional investments by existing members. The offering is for a maximum of [ ] Units ($[

Redwood Mortgage Investors IX – [ ] Units of Limited Liability Company Interests ($1 Per Unit) REDWOOD MORTGAGE INVESTORS IX, LLC PARTICIPATING BROKER DEALER AGREEMENT (March 30th, 2016)

Redwood Mortgage Corp., a California corporation, a California corporation, is the Manager of Redwood Mortgage Investors IX, LLC, a Delaware limited liability company (the Company) engaged in business as a mortgage lender. The Company will advance funds to Redwood Mortgage Corp., a California corporation, as part of a loan (the Formation Loan) out of which Redwood Mortgage Corp. will pay sales commissions under this Agreement. The Manager, on behalf of the Company, proposes to offer and sell to qualified investors, upon the terms and subject to the conditions set forth in the Prospectus dated (the Prospectus), units of limited liability company interests (Units) of the Company at an offering price of $1 per Unit, with a minimum investment of [ ] ([ ]) Units per purchaser for initial investments and [ ] ([ ]) Units for additional investments by existing members. The offering is for a maximum of [ ] Units ($[

GWG Holdings, Inc. – Gwg Holdings, Inc. (October 23rd, 2015)

This letter confirms and comprises the agreement (the "Agreement") between GWG Holdings, Inc., a Delaware corporation (the "Company"), and Emerson Equity LLC, a California limited liability company (the "Managing Broker-Dealer"), regarding the offering and sale (the "Offering") of up to $100,000,000 of Redeemable Preferred Stock (the "Preferred") of the Company to be sold pursuant to a Registration Statement on Form S-1 filed with the United States Securities and Exchange Commission (the "SEC"), as the same is later declared effective by the SEC and as it may be amended and supplemented from time to time (SEC File No. 333-206626, the "Registration Statement"). The prospectus that forms a part of the Registration Statement is hereinafter referred to as the "Prospectus." References to the Registration Statement include all exhibits to the Registration Statements and any documents incorporated into the Registration Statement by reference.

Greenbacker Renewable Energy Co LLC – Greenbacker Renewable Energy Company LLC Up to $1,500,000,000 in Shares FORM OF PARTICIPATING BROKER-DEALER AGREEMENT (July 11th, 2013)
GWG Holdings, Inc. – Addendum to Third Amended and Restated Managing Broker-Dealer Agreement Dated February 28, 2013 Recitals (April 4th, 2013)

This Addendum shall have a one (1) year term, renewable by mutual consent of the parties. In the event this Addendum is terminated, Arque Wholesale shall continue to receive its Wholesale Commissions for a period of one (1) year following the termination of this Addendum.

TriLinc Global Impact Fund LLC – TRILINC GLOBAL IMPACT FUND, LLC Up to $1,500,000,000 in Units FORM OF PARTICIPATING BROKER-DEALER AGREEMENT (February 25th, 2013)
TriLinc Global Impact Fund LLC – TRILINC GLOBAL IMPACT FUND, LLC Up to $1,500,000,000 in Units FORM OF PARTICIPATING BROKER-DEALER AGREEMENT (December 26th, 2012)
National Collegiate Funding Llc – Broker-Dealer Agreement (October 5th, 2007)

THIS BROKER-DEALER AGREEMENT, dated September 20, 2007, among (i) The Bank of New York (the "Auction Agent"), a New York banking corporation, not in its individual capacity but solely as agent of U.S. Bank National Association (the "Trustee"), pursuant to authority granted to the Auction Agent in the Auction Agreement, dated September 20, 2007 (the "Auction Agreement"), between the Trustee and the Auction Agent and acknowledged by the Corporation, as hereinafter defined; (ii) GOLDMAN, SACHS & CO., a New York limited partnership ("BD"); and (iii) FIRST MARBLEHEAD DATA SERVICES, INC., a Massachusetts corporation (the "Corporation").

National Collegiate Funding Llc – BROKER-DEALER AGREEMENT Dated September 20, 2007 Among THE BANK OF NEW YORK, as Auction Agent and GOLDMAN, SACHS & CO., as Broker-Dealer and FIRST MARBLEHEAD DATA SERVICES, INC. Relating to THE NATIONAL COLLEGIATE STUDENT LOAN TRUST 2007-3 $229,200,000 Student Loan Asset Backed Notes Consisting of Auction Rate Class A-2-Ar-2 Notes Auction Rate Class A-3-Ar-3 Notes Auction Rate Class A-3-Ar-4 Notes (October 5th, 2007)

THIS BROKER-DEALER AGREEMENT, dated September 20, 2007, among (i) THE BANK OF NEW YORK (the "Auction Agent"), a New York banking corporation, not in its individual capacity but solely as agent of U.S. Bank National Association (the "Trustee"), pursuant to authority granted to the Auction Agent in the Auction Agreement, dated September 20, 2007 (the "Auction Agreement"), between the Trustee and the Auction Agent and acknowledged by the Corporation, as hereinafter defined; (ii) GOLDMAN, SACHS & CO., a New York limited partnership ("BD"); and (iii) FIRST MARBLEHEAD DATA SERVICES, INC., a Massachusetts corporation (the "Corporation").

National Collegiate Funding Llc – Broker-Dealer Agreement (October 5th, 2007)

THIS BROKER-DEALER AGREEMENT, dated September 20, 2007, among (i) THE BANK OF NEW YORK (the "Auction Agent"), a New York banking corporation, not in its individual capacity but solely as agent of U.S. Bank National Association (the "Trustee"), pursuant to authority granted to the Auction Agent in the Auction Agreement, dated September 20, 2007 (the "Auction Agreement"), between the Trustee and the Auction Agent and acknowledged by the Corporation, as hereinafter defined; (ii) UBS SECURITIES LLC, a Delaware limited liability company ("BD"); and (iii) FIRST MARBLEHEAD DATA SERVICES, INC., a Massachusetts corporation (the "Corporation").

National Collegiate Funding Llc – Broker-Dealer Agreement (October 5th, 2007)

THIS BROKER-DEALER AGREEMENT, dated September 20, 2007, among (i) The Bank of New York (the "Auction Agent"), a New York banking corporation, not in its individual capacity but solely as agent of U.S. Bank National Association (the "Trustee"), pursuant to authority granted to the Auction Agent in the Auction Agreement, dated September 20, 2007 (the "Auction Agreement"), between the Trustee and the Auction Agent and acknowledged by the Corporation, as hereinafter defined; (ii) CITIGROUP GLOBAL MARKETS INC., a New York corporation ("BD"); and (iii) FIRST MARBLEHEAD DATA SERVICES, INC., a Massachusetts corporation (the "Corporation").

National Collegiate Funding Llc – Broker-Dealer Agreement (October 5th, 2007)

THIS BROKER-DEALER AGREEMENT, dated September 20, 2007, among (i) THE BANK OF NEW YORK (the "Auction Agent"), a New York banking corporation, not in its individual capacity but solely as agent of U.S. Bank National Association (the "Trustee"), pursuant to authority granted to the Auction Agent in the Auction Agreement, dated September 20, 2007 (the "Auction Agreement"), between the Trustee and the Auction Agent and acknowledged by the Corporation, as hereinafter defined; (ii) BANC OF AMERICA SECURITIES LLC, a Delaware limited liability corporation ("BD"); and (iii) FIRST MARBLEHEAD DATA SERVICES, INC., a Massachusetts corporation (the "Corporation").

National Collegiate Funding Llc – Broker-Dealer Agreement (October 5th, 2007)

THIS BROKER-DEALER AGREEMENT, dated September 20, 2007, among (i) THE BANK OF NEW YORK (the "Auction Agent"), a New York banking corporation, not in its individual capacity but solely as agent of U.S. Bank National Association (the "Trustee"), pursuant to authority granted to the Auction Agent in the Auction Agreement, dated September 20, 2007 (the "Auction Agreement"), between the Trustee and the Auction Agent and acknowledged by the Corporation, as hereinafter defined; (ii) BANC OF AMERICA SECURITIES LLC, a Delaware limited liability corporation ("BD"); and (iii) FIRST MARBLEHEAD DATA SERVICES, INC., a Massachusetts corporation (the "Corporation").

National Collegiate Funding Llc – Broker-Dealer Agreement (October 5th, 2007)

THIS BROKER-DEALER AGREEMENT, dated September 20, 2007, among (i) THE BANK OF NEW YORK (the "Auction Agent"), a New York banking corporation, not in its individual capacity but solely as agent of U.S. Bank National Association (the "Trustee"), pursuant to authority granted to the Auction Agent in the Auction Agreement, dated September 20, 2007 (the "Auction Agreement"), between the Trustee and the Auction Agent and acknowledged by the Corporation, as hereinafter defined; (ii) CITIGROUP GLOBAL MARKETS INC., a New York corporation ("BD"); and (iii) FIRST MARBLEHEAD DATA SERVICES, INC., a Massachusetts corporation (the "Corporation").

National Collegiate Funding Llc – Broker-Dealer Agreement (October 5th, 2007)

THIS BROKER-DEALER AGREEMENT, dated September 20, 2007, among (i) THE BANK OF NEW YORK (the "Auction Agent"), a New York banking corporation, not in its individual capacity but solely as agent of U.S. Bank National Association (the "Trustee"), pursuant to authority granted to the Auction Agent in the Auction Agreement, dated September 20, 2007 (the "Auction Agreement"), between the Trustee and the Auction Agent and acknowledged by the Corporation, as hereinafter defined; (ii) UBS SECURITIES LLC, a Delaware limited liability company ("BD"); and (iii) FIRST MARBLEHEAD DATA SERVICES, INC., a Massachusetts corporation (the "Corporation").

BROKER-DEALER AGREEMENT Among THE BANK OF NEW YORK, as Auction Agent, CITIGROUP GLOBAL MARKETS INC., as Broker-Dealer and EL PASO ELECTRIC COMPANY, as Borrower Dated as of August 1, 2005 Relating to Maricopa County, Arizona Pollution Control Corporation Pollution Control Refunding Revenue Bonds, 2005 Series B (El Paso Electric Company Palo Verde Project) and Maricopa County, Arizona Pollution Control Corporation Pollution Control Refunding Revenue Bonds, 2005 Series C (El Paso Electric Company Palo Verde Project) (August 9th, 2005)

This BROKER-DEALER AGREEMENT dated as of August 1, 2005 (the Agreement) among THE BANK OF NEW YORK, as auction agent (together with its successors and assigns, the Auction Agent), CITIGROUP GLOBAL MARKETS INC. (together with its successor and assigns, hereinafter referred to as Citigroup) and El Paso Electric Company (the Borrower).

Pheaa Student Loan Trust I – BROKER-DEALER AGREEMENT Between THE BANK OF NEW YORK, as Auction Agent and UBS FINANCIAL SERVICES INC., as Broker-Dealer Dated as of July 1, 2004 $200,000,000 PHEAA STUDENT LOAN TRUST 1 STUDENT LOAN ASSET-BACKED NOTES SERIES 2004-1 CLASS A-2 SENIOR AUCTION RATE NOTES SERIES 2004-1 CLASS A-3 SENIOR AUCTION RATE NOTES SERIES 2004-1 CLASS B-1 SUBORDINATE AUCTION RATE NOTES (August 26th, 2004)

This Broker-Dealer Agreement (the Agreement), dated as of July 1, 2004, is between The Bank of New York (together with its successors and assigns, the Auction Agent), a New York banking corporation, pursuant to authority granted to it in the Auction Agency Agreement and acting not in its individual capacity but solely as agent for the Issuer, and UBS Financial Services Inc. (together with its successors and assigns hereinafter referred to as BD or Broker-Dealer).

Education Loans Inc /De – Broker-Dealer Agreement Between Deutsche Bank Trust Company Americas, as Auction Agent and Rbc Dain Rauscher Inc., as Broker-Dealer Dated as of August 1, 2004 Relating to Education Loans Incorporated Student Loan Asset-Backed Notes Senior Series 2004-C1, C2, C3, C4 and C5 and Subordinate Series 2004-D (August 13th, 2004)

This BROKER-DEALER AGREEMENT (the Broker Dealer Agreement), dated as of August 1, 2004, is by and between DEUTSCHE BANK TRUST COMPANY AMERICAS, a New York banking corporation (together with its successors and assigns, the Auction Agent), pursuant to authority granted to it in the Auction Agent Agreement, defined below, acting not in its individual capacity, but solely as agent for Education Loans Incorporated (the Corporation), a Delaware corporation and RBC DAIN RAUSCHER INC. (together with its respective successors and assigns, the Broker-Dealer).