Exhibit k.7 BROKER-DEALER AGREEMENT This Broker-Dealer Agreement dated as of ____________, is between The Bank of New York (the "Auction Agent") (not in its individual capacity, but solely as agent of Tortoise Energy Capital Corporation (the...Broker-Dealer Agreement • February 19th, 2008 • Tortoise Energy Capital Corp • New York
Broker-Dealer AgreementBroker-Dealer Agreement • March 13th, 2023 • Ysmd, LLC • Real estate
This agreement (together with exhibits and schedules, the “Agreement”) is entered into by and between YSMD, LLC (“Client”), a California Corporation, and Dalmore Group, LLC., a New York Limited Liability Company (“Dalmore”). Client and Dalmore agree to be bound by the terms of this Agreement, effective as of November 8, 2021 (the “Effective Date”):
Broker-Dealer AgreementBroker-Dealer Agreement • February 13th, 2024 • WFTP Ventures Inc.
This agreement (together with exhibits and schedules, the “Agreement”) is entered into by and between WFTP Ventures Inc. (“Client”), a California Corporation, and Dalmore Group, LLC., a New York Limited Liability Company (“Dalmore”). Client and Dalmore agree to be bound by the terms of this Agreement, effective as of July 5, 2023 (the “Effective Date”):
BROKER/DEALER AGREEMENT Keeley Investment Corp. 401 South LaSalle Street Suite 1201 Chicago, Illinois 60605 Gentlemen: We desire to enter into an Agreement with you for the sale of of those series of shares of common stock in KEELEY Funds, Inc. (the...Broker/Dealer Agreement • April 28th, 2005 • Keeley Funds, Inc. • Illinois
BROKER-DEALER AGREEMENT (The Victory Portfolios) BISYS Fund Services Limited Partnership 3435 Stelzer Road, Suite 1000 Columbus, Ohio 43219-8003 Attn: Regulatory Services Ladies and Gentlemen: We desire to enter into an Agreement with you for the sale...Broker-Dealer Agreement • March 1st, 2002 • Victory Portfolios • Ohio
THE DALMORE GROUPBroker-Dealer Agreement • November 17th, 2022 • RSE Portfolio, LLC • Real estate
This agreement (together with exhibits and schedules, the “Agreement”) is entered into by and between RSE Portfolio, LLC (“Client”) a Delaware Limited Liability Company, and Dalmore Group LLC, a New York Limited Liability Company (“Dalmore”). Each of Client and Dalmore may be referred to herein as a “Party” and, collectively, the “Parties.” Client and Dalmore agree to be bound by the terms of this Agreement, effective of May 3, 2022 (the “Effective Date”):
Broker-Dealer AgreementBroker-Dealer Agreement • July 22nd, 2019 • Erc Homebuilders 2, Inc. • General bldg contractors - residential bldgs
This amended agreement (together with exhibits and schedules, the “Agreement”) is entered into by and between ERC Homebuilders 2, Inc. (“Client”) a Delaware Corporation, and Sageworks Capital LLC., a Pennsylvania Limited Liability Company (“Sageworks”). Client and Sageworks agree to be bound by the terms of this Agreement, effective of April 25, 2019 (the “Effective Date”):
BROKER-DEALER AGREEMENT Dated September 20, 2007 among THE BANK OF NEW YORK, as Auction Agent and UBS SECURITIES LLC, as Broker-Dealer and FIRST MARBLEHEAD DATA SERVICES, INC. relating to THE NATIONAL COLLEGIATE STUDENT LOAN TRUST 2007-4 $229,200,000...Broker-Dealer Agreement • October 5th, 2007 • National Collegiate Student Loan Trust 2007-4 • Asset-backed securities • New York
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”).
AMENDED AND RESTATED BROKER-DEALER AGREEMENT between DEUTSCHE BANK TRUST COMPANY AMERICAS and [Name of Broker-Dealer] Dated as of [Date] Relating to AUCTION MARKET PREFERRED STOCK® ("AMPS"®) Series A, Series B and Series C of ABERDEEN ASIA-PACIFIC...Broker-Dealer Agreement • May 13th, 2003 • Aberdeen Asia Pacific Income Fund Inc • New York
AMENDED AND RESTATED BROKER-DEALER AGREEMENT ("Agreement") dated as of [Date] between Deutsche Bank Trust Company Americas, a New York corporation (the "Auction Agent") (not in its individual capacity but solely as agent of Aberdeen Asia-Pacific Income Fund, Inc., a Maryland corporation (the "Company"), pursuant to authority granted to it in the Amended and Restated Auction Agent Agreement dated as of May 9, 2003, between the Company and the Auction Agent (the "Auction Agent Agreement")) and [Name of Broker-Dealer] (together with its successors and assigns hereinafter referred to as "BD").
BROKER-DEALER AGREEMENT (FULLY DISCLOSED BASIS) Dreyfus Service Corporation 200 Park Avenue New York, New York 10166 Gentlemen: We desire to enter into an Agreement with you for the sale of shares of beneficial interest or common stock of open-end...Broker-Dealer Agreement • June 28th, 2000 • Dreyfus Premier International Growth Fund Inc • New York
BANK AFFILIATED BROKER-DEALER AGREEMENT (FULLY DISCLOSED BASIS) Dreyfus Service Corporation 200 Park Avenue New York, New York 10166 Gentlemen: We are a broker-dealer registered with the Securities and Exchange Commission under the Securities Exchange...Broker-Dealer Agreement • February 26th, 2001 • General New York Municipal Bond Fund Inc • New York
Broker-Dealer AgreementBroker-Dealer Agreement • March 17th, 2021 • Startengine Crowdfunding, Inc. • Finance services
This agreement (together with exhibits and schedules, the “Agreement”) is entered into by and between StartEngine Crowdfunding, Inc (“Client”) a Delaware Corporation, and Dalmore Group, LLC., a New York Limited Liability Company (“Dalmore”). Client and Dalmore agree to be bound by the terms of this Agreement, effective of March 10, 2021 (the “Effective Date”):
Broker-Dealer AgreementBroker-Dealer Agreement • June 2nd, 2022 • Startengine Crowdfunding, Inc. • Finance services
This amended agreement (together with exhibits and schedules, the “Agreement”) is entered into by and between StartEngine Crowdfunding, Inc. (“Client”) a Delaware Corporation, and Dalmore Group, LLC., a New York Limited Liability Company (“Dalmore”). Client and Dalmore agree to be bound by the terms of this Agreement, effective as of June 1, 2002 and replaces the amended Agreement previously dated May 26, 2022 (the “Effective Date”):
BROKER-DEALER AGREEMENT (FULLY DISCLOSED BASIS)Broker-Dealer Agreement • March 27th, 2008 • Dreyfus Growth & Income Fund Inc /New/ • New York
We desire to enter into an Agreement with you for the sale of shares of beneficial interest or common stock of open-end registered investment companies managed, advised or administered by The Dreyfus Corporation or its subsidiaries or affiliates (hereinafter referred to individually as a "Fund" and collectively as the "Funds"), for which you are the principal underwriter, as such term is defined in the Investment Company Act of 1940, as amended, and for which you are the exclusive agent for the continuous distribution of shares pursuant to the terms of a Distribution Agreement between you and each Fund. Unless the context otherwise requires, as used herein the term "Prospectus" shall mean the prospectus and related statement of additional information (the "Statement of Additional Information") incorporated therein by reference (as amended or supplemented) of each of the respective Funds included in the then currently effective registration statement (or post-effective amendment thereto
BROKER-DEALER AGREEMENTBroker-Dealer Agreement • October 19th, 2006 • Clough Global Opportunities Fund • New York
This Broker-Dealer Agreement dated as of [ ], 2006, is between The Bank of New York, a New York banking corporation (the "Auction Agent") (not in its individual capacity, but solely as agent of Clough Global Opportunities Fund, a statutory trust organized under the laws of the State of Delaware, as the same may be amended from time to time (the "Fund"), pursuant to authority granted to it in the Auction Agency Agreement between the Fund and the Auction Agent (the "Auction Agency Agreements") and [ ] (together with its successors and assigns, "BD").
SECOND AMENDED AND RESTATED BROKER-DEALER AGREEMENTBroker-Dealer Agreement • August 13th, 2021 • iCap Vault 1, LLC • Real estate • Delaware
This Second Amended and Restated Broker-Dealer Agreement (this “Agreement”) is entered into by and among iCap Vault 1, LLC, a Delaware limited liability company (“iCap Vault 1”), Vault Holding 1, LLC, a Delaware limited liability company (“Vault Holding 1”), and Cobalt Capital, Inc., a Florida corporation (the “Broker-Dealer”), effective August 9, 2021 (the “Effective Date”), regarding the offering and sale (the “Offering”) by iCap Vault 1 of up to $500,000,000 of Senior Secured Demand Notes (the “Notes”) issued by iCap Vault 1, as guaranteed by Vault Holding 1, LLC (“Guarantee”; and together with Notes, collectively, referred to herein as the “Securities”) pursuant to that certain Registration Statement on Form S-11 (the “Registration Statement”) filed by iCap Vault 1 and Vault Holding 1 (collectively, the “Issuer”) with the Securities and Exchange Commission (“SEC”). Capitalized terms used herein and not otherwise defined herein shall have the same meaning as set forth in the Registr
GK INVESTMENT PROPERTY HOLDINGS II, LLC MANAGING BROKER-DEALER AGREEMENTBroker-Dealer Agreement • January 14th, 2020 • GK Investment Property Holdings II LLC • Real estate • Illinois
GK Investment Property Holdings II, LLC, a Delaware limited liability company (the “Company”), is qualifying for the public sale of a maximum of 50,000 7% Bonds of the Company (the “Bonds”), pursuant to an exemption from registration under Regulation A (“Regulation A”) promulgated by the Securities and Exchange Commission (“SEC”) pursuant to the Securities Act of 1933 (the “Securities Act”), at the purchase price per Bond set forth in the Offering Statement (as defined below) (the “Offering”). The Company desires to appoint JCC Advisors, LLC, a Texas limited liability company, as managing broker-dealer for the Offering (the “Managing Broker-Dealer”) on the terms and conditions described herein. The Managing Broker-Dealer shall have the right to enter into (i) Participating Dealer Agreements substantially in the form attached to this Managing Broker-Dealer Agreement (this “Agreement”) as “Exhibit B” with broker-dealers participating in the Offering (each broker-dealer entering into a Pa
Broker-Dealer AgreementBroker-Dealer Agreement • July 7th, 2023 • Mansion Collection I LLC
This agreement (together with exhibits and schedules, the “Agreement”) is entered into by and between Mansion Group Inc. (“Client”), a Delaware Corporation, and Dalmore Group, LLC., a New York Limited Liability Company (“Dalmore”). Client and Dalmore agree to be bound by the terms of this Agreement, effective as of August 10, 2022 (the “Effective Date”):
BROKER-DEALER AGREEMENTBroker-Dealer Agreement • April 14th, 2022 • BlackRock Private Credit Fund • New York
We understand that BlackRock Investments, LLC is the exclusive distributor (the “Distributor”) of the common shares of beneficial interest, par value $0.001 per share (the “Shares”), of BlackRock Private Credit Fund (the “Fund”), a non-diversified, non-traded, closed-end management investment company that has elected to be regulated as a business development company under the Investment Company Act of 1940, as amended (the “1940 Act”). We desire to enter into an Agreement with the Distributor for the sale of the class(es) of Shares set forth on Appendix A that are now or hereafter available for sale to our customers.
Amended & Restated Broker-Dealer AgreementBroker-Dealer Agreement • January 17th, 2023 • Public Luxury Handbag Portfolio LLC • Retail-retail stores, nec
This agreement (together with exhibits and schedules, the “Agreement”) is entered into by and between Public Luxury Handbag Portfolio LLC (“Client”), a Delaware Limited Liability Company, and Dalmore Group, LLC., a New York Limited Liability Company (“Dalmore”). Client and Dalmore agree to be bound by the terms of this Agreement, effective as of December 21, 2022 (the “Effective Date”):
Broker-Dealer AgreementBroker-Dealer Agreement • May 7th, 2021 • Own Our Own Fund I, LLC • Real estate
This agreement (together with exhibits and schedules, the “Agreement”) is entered into by and between OUR OWN FUND I, LLC. (“Client”) a Delaware Limited Liability Company, and Dalmore Group, LLC., a New York Limited Liability Company (“Dalmore”). Client and Dalmore agree to be bound by the terms of this Agreement, effective of September 15, 2020 (the “Effective Date”):
BROKER-DEALER AGREEMENTBroker-Dealer Agreement • September 14th, 2007 • Tortoise Energy Infrastructure Corp • New York
We are a Broker-Dealer for _______________ (the [“Purchaser”] [“Seller”]), which [purchased] [sold] _____ MMP Shares of ____________________ in the Auction held on ____________________ from the [seller] [purchaser] of such MMP Shares.
BROKER-DEALER AGREEMENT Among DEUTSCHE BANK TRUST COMPANY AMERICAS as Auction Agent OPPENHEIMER & CO. INC. as Broker-Dealer Dated as of July 21, 2004 Relating to AUCTION MARKET PREFERRED SHARES SERIES A of FEDERATED PREMIER MUNICIPAL INCOME FUNDBroker-Dealer Agreement • October 6th, 2017 • Federated Premier Municipal Income Fund • New York
This BROKER-DEALER AGREEMENT dated as of July 21, 2004 (this “Agreement”), among (i) Deutsche Bank Trust Company Americas, a New York banking corporation, as auction agent (the “Auction Agent”) (not in its individual capacity but solely as agent of FEDERATED PREMIER MUNICIPAL INCOME FUND, a Delaware statutory trust (the “Trust”)) pursuant to authority granted to it in the Auction Agency Agreement and (ii) OPPENHEIMER & CO. INC., as broker-dealer (together with its successors and assigns as such hereinafter referred to as “BD”).
Broker-Dealer AgreementBroker-Dealer Agreement • June 18th, 2018 • Dubuc Motors Inc. • Motor vehicles & passenger car bodies
This agreement (together with exhibits and schedules, the “Agreement”) is entered into by and between Dubuc Motors, Inc. (“Client”) and Sageworks Capital LLC, a Pennsylvania Limited Liability Company (“Sageworks”). Client and Sageworks agree to be bound by the terms of this Agreement, effective as of June 12, 2017 (the “Effective Date”):
BROKER-DEALER AGREEMENTBroker-Dealer Agreement • March 2nd, 2022 • Landa App 3 LLC
This broker dealer agreement (together with exhibits and schedules, the “Agreement”) is entered into by and between Landa App 3 LLC, a Delaware Series Limited Liability Company (“Client”), and Dalmore Group, LLC, a New York Limited Liability Company (“Dalmore”). Client and Dalmore agree to be bound by the terms of this Agreement, effective as of February 11, 2022 (the “Effective Date”):
BROKER-DEALER AGREEMENTBroker-Dealer Agreement • September 14th, 2007 • Tortoise Energy Infrastructure Corp • New York
We are a Broker-Dealer for _____________________ (the “Purchaser”), which purchased _____ Tortoise Notes, Series _____ of ____________________________________ in the Auction held on ____________________ from the seller of such Tortoise Notes.
FORM OFBroker Dealer Agreement • August 16th, 2007 • Shopoff Properties Trust, Inc. • Real estate investment trusts • California
Exhibit (e)(2) Broker-Dealer Agreement between Rafferty Capital Markets, LLC and broker-dealers, banks and other financial institutions RAFFERTY CAPITAL MARKETS, LLC 59 Hilton Avenue - Suite 101 Garden City, NY 11530 BROKER-DEALER AGREEMENT This...Broker-Dealer Agreement • December 28th, 2007 • Aegis Value Fund Inc • New York
BANK AFFILIATED BROKER-DEALER AGREEMENT (FULLY DISCLOSED BASIS) Dreyfus Service Corporation 200 Park Avenue New York, New York 10166 Gentlemen: We are a broker-dealer registered with the Securities and Exchange Commission under the Securities Exchange...Broker-Dealer Agreement • August 3rd, 2000 • Dreyfus Premier Municipal Bond Fund • New York
BROKER-DEALER AGREEMENTBroker-Dealer Agreement • March 5th, 2009 • BlackRock Fixed Income Value Opportunities • Delaware
We desire to enter into an Agreement with you for the sale of common shares of beneficial interest or common shares of stock, as the case may be (“Shares”) in any closed-end investment company (each a “Closed-End Fund”) or any investment portfolio of an open-end investment company (excluding the investment portfolios of (i) BlackRock Liquidity Funds, (ii) Merrill Lynch Funds for Institutions Series, (iii) FDP Series, Inc. and (iv) Managed Account Series) (each an “Open-End Fund” and, together with the Closed-End Funds, the “Funds”) distributed by BlackRock Distributors, Inc. that are now or hereafter available for sale to our customers. You are the principal underwriter (as such term is defined in the Investment Company Act of 1940, as amended (the “1940 Act”)) of the offering of Shares of the Funds and the agent for the continuous distribution of such Shares pursuant to the terms of the Distribution Agreement between you and each Fund.
BROKER DEALER AGREEMENT CROWN EXPLORATION PARTNERS, LTD.Broker Dealer Agreement • June 10th, 2011 • Crown Exploration Fund I, L.P. • Drilling oil & gas wells • Texas
BROKER-DEALER AGREEMENT among ING CLARION REAL ESTATE INCOME FUND THE BANK OF NEW YORK as Auction Agent And each Broker-Dealer Dated as of January 8, 2007 Relating to AUCTION PREFERRED SHARES OF ING CLARION REAL ESTATE INCOME FUNDBroker-Dealer Agreement • January 9th, 2007 • Ing Clarion Real Estate Income Fund • New York
BROKER-DEALER AGREEMENT dated as of January 8, 2007 (this “Agreement”), among The Bank of New York, a New York banking corporation, as auction agent (the “Auction Agent”) (not in its individual capacity but solely as agent) pursuant to authority granted to it in the Auction Agency Agreement, ING Clarion Real Estate Income Fund (the “Trust”), and each broker-dealer whose name appears on the signature page hereof, as broker-dealer (together with its successors and assigns as such hereinafter referred to as “BD”).
AGREEMENTBroker-Dealer Agreement • March 5th, 2009 • BlackRock Fixed Income Value Opportunities • New York
AGREEMENT made this 18th day of December 1996 between Dean Witter Reynolds Inc., a corporation organized under the laws of the State of Delaware (the “Broke”), and Compass Capital Group, Inc. a corporation organized under the laws of the State of Delaware (“Compass”).
THE BANK OF NEW YORK MELLON, as Auction AgentBroker-Dealer Agreement • October 24th, 2011 • RMR Asia Pacific Real Estate Fund • New York
This Broker-Dealer Agreement dated as of , 20 , is between The Bank of New York Mellon, a New York banking corporation (the “Auction Agent”) (not in its individual capacity, but solely as agent of [The Reorganized Fund] (the “Fund”), pursuant to authority granted to it in the Auction Agency Agreement dated as of , 20 , between the Fund and the Auction Agent (the “Auction Agency Agreement”)), and [Broker Dealer] (together with its successors and assigns, “BD”).
Broker-Dealer AgreementBroker-Dealer Agreement • August 10th, 2023 • Commonwealth Thoroughbreds LLC • Services-racing, including track operation
This agreement (together with exhibits and schedules, the “Agreement”) is entered into by and between Commonwealth Thoroughbreds LLC (“Client”), a Delaware Limited Liability Company, and Dalmore Group, LLC., a New York Limited Liability Company (“Dalmore”). Client and Dalmore agree to be bound by the terms of this Agreement, effective as of July 5, 2023 (the “Effective Date”):
