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Broker Dealer Agreements

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

1) Commercial Paper Dealer Agreement

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


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

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


3) Pricing Agreement

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


4) PRICING AGREEMENT

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


5) PRICING AGREEMENT

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


6) Pricing Agreement

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


7) DEALER MANAGER AGREEMENT

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


8) COMMERCIAL PAPER DEALER AGREEMENT

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


9) COMMERCIAL PAPER DEALER AGREEMENT

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


10) DEALER MANAGER AGREEMENT

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


11) COMMERCIAL PAPER DEALER AGREEMENT

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


12) Re: Capped Call Transaction

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


13) Re: Capped Call Transaction Reference:

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


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

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


15) Pricing Agreement

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


16) BROKER AGREEMENT

Parties: RESIDENTIAL CAPITAL, LLC | Ditech, LLC | GMAC Bank | GMAC Mortgage, LLC
Document Date: 5/11/2009
Governing Law:Delaware


17) FORM OF DEALER MANAGER AGREEMENT

Parties: Capital Financial Services, Inc | Prime Group, Inc | Prime Realty Income Trust, Inc
Law Firm: Winston Strawn
Document Date: 5/1/2009
Governing Law:Illinois


18) FORM OF SELECTED DEALER AGREEMENT

Parties: Capital Financial Services, Inc | Financial Industry Regulatory Authority, Inc | Prime Group | PRIME REALTY INCOME TRUST, INC
Document Date: 5/1/2009


19) GENERAL MOTORS CORPORATION DEALER MANAGERS AGREEMENT

Parties: Banc of America Securities LLC | Barclays Capital Inc | Citigroup Global Markets Inc | Deutsche Bank Securities Inc | GM Nova Scotia Finance Company | JP Morgan Securities Inc | Morgan Stanley & Co Incorporated | UBS Securities LLC | Wachovia Capital Markets, LLC
Law Firm: Cahill Gordon;Jenner Block;Weil Gotshal
Document Date: 4/27/2009
Industry: Auto and Truck Manufacturers
Sector: Consumer Cyclical
Governing Law:New York


20) Re: Issuer Warrant Transaction Ref. No: 99AH24K63 Date: April 6, 2009 Dear Sir(s):

Parties: BORGWARNER INC
Document Date: 4/9/2009
Industry: Auto and Truck Parts
Sector: Consumer Cyclical
Governing Law:New York


21) Re: Issuer Warrant Transaction Ref. No: NY-38451 Date: April 6, 2009 Dear Sir(s):

Parties: BORGWARNER INC
Document Date: 4/9/2009
Industry: Auto and Truck Parts
Sector: Consumer Cyclical


22) Re: Convertible Bond Hedge Transaction Ref. No: SDB1630292323 Date: March 31, 2009 Dear Sir(s):

Parties: TERADYNE, INC
Document Date: 4/6/2009
Industry: Semiconductors
Sector: Technology
Governing Law:New York


23) ALPHATEC SPINE, INC. SALES AGENCY AGREEMENT

Parties: ALPHATEC HOLDINGS, INC. | Alphatec Spine, Inc | SS Fusion Medical, Inc
Document Date: 3/4/2009
Industry: Medical Equipment and Supplies
Sector: Healthcare
Governing Law:California


24) 10b5-1 Issuer Repurchase Instructions

Parties: NATHANS FAMOUS INC | Mutual Securities, Inc
Document Date: 2/6/2009
Industry: Restaurants
Sector: Services


25) RESTATED DEL MONTE FOODS RETAIL BROKERAGE AGREEMENT

Parties: ADVANTAGE SALES AND MARKETING LLC | DEL MONTE CORPORATION
Document Date: 11/6/2008
Industry: Food Processing
Sector: Consumer/Non-Cyclical


26) FIRST AMENDMENT TO THE AMENDED AND RESTATED MANAGING DEALER AGREEMENT

Parties: CB RICHARD ELLIS REALTY TRUST | CNL Securities Corp
Document Date: 10/28/2008


27) SALES AGENCY AGREEMENT

Parties: SPHERIC TECHNOLOGIES, INC. | CHANGSHA SYNO-THERM CO, LTD
Document Date: 10/15/2008


28) PRICING AGREEMENT

Parties: Bell Distribution Inc | Bell ExpressVu Inc | Bell ExpressVu Limited Partnership | EchoStar Technologies LLC
Document Date: 5/13/2008
Governing Law:Texas


29) BEHRINGER HARVARD OPPORTUNITY REIT II, INC. UP TO 125,000,000 SHARES OF COMMON STOCK SELECTED DEALER AGREEMENT

Parties: Ameriprise Financial Services, Inc | Behringer Harvard Holdings, LLC | Behringer Harvard Opportunity REIT II, Inc | Behringer Securities LP
Law Firm: DLA Piper
Document Date: 5/2/2008
Governing Law:Maryland


30) Pricing Agreement

Parties: Bank of New York Trust Company, N.A. | J.P. Morgan Securities Inc. | SLM Education Credit Finance Corporation | SLM Funding LLC
Document Date: 5/2/2008


31) PRICING AGREEMENT

Parties: MONSANTO COMPANY
Law Firm: Mayer Brown
Document Date: 4/15/2008
Industry: Chemical Manufacturing
Sector: Basic Materials


32) PRICING AGREEMENT

Parties: WAL MART STORES INC | Citigroup Global Markets Inc | Credit Suisse Securities (USA) LLC | Goldman, Sachs & Co
Law Firm: Simpson Thacher
Document Date: 4/14/2008
Industry: Retail (Department and Discount)
Sector: Services


33) SOLICITING DEALER AGREEMENT

Parties: ALARON FINANCIAL SERVICES, INC | NORTH AMERICAN ROYALTY CORP
Document Date: 2/15/2008
Governing Law:Illinois


34) SALES AGENCY AGREEMENT

Parties: CYBRDI, INC. | American BIOMAX Co, Ltd
Document Date: 12/21/2007
Industry: Audio and Video Equipment
Sector: Consumer Cyclical


35) CUSTOMER FX PRIME BROKERAGE AGREEMENT

Parties: Morgan Stanley Capital Group Inc
Document Date: 12/5/2007
Governing Law:New York


36) CUSTOMER FX PRIME BROKERAGE AGREEMENT

Parties: Morgan Stanley & Co. Incorporated
Document Date: 12/5/2007
Governing Law:New York


37) CUSTOMER FX PRIME BROKERAGE AGREEMENT

Parties: Morgan Stanley & Co. Incorporated
Document Date: 12/4/2007
Governing Law:New York


38) Amended Equipment Acquisition Agreement

Parties: CALIFORNIA MICRO DEVICES CORP | Indian Companies | Micro Devices Corporation | SPEL Semiconductor Limited
Document Date: 11/9/2007
Industry: Semiconductors
Sector: Technology


39) AMENDMENT TO CONFIRMATION

Parties: AMERIGROUP CORP
Document Date: 4/9/2007
Industry: Insurance (Accident and Health)
Governing Law:New York


40) COMMERCIAL PAPER DEALER AGREEMENT

Parties: NIKE INC | Merrill Lynch Money Markets Inc. | Merrill Lynch, Pierce, Fenner & Smith Incorporated
Document Date: 4/4/2007
Industry: Footwear
Sector: Consumer Cyclical
Governing Law:New York


41) COMMERCIAL PAPER DEALER AGREEMENT

Parties: NIKE INC | Goldman, Sachs & Co
Document Date: 4/4/2007
Industry: Footwear
Sector: Consumer Cyclical
Governing Law:New York


42) COMMERCIAL PAPER DEALER AGREEMENT

Parties: NIKE INC | Wells Fargo Brokerage Services, LLC
Document Date: 4/4/2007
Industry: Footwear
Sector: Consumer Cyclical
Governing Law:New York


43) COMMERCIAL PAPER DEALER AGREEMENT 4(2) PROGRAM

Parties: NYSE EURONEXT | LEHMAN BROTHERS INC
Document Date: 4/2/2007
Governing Law:New York


44) DEALER AGREEMENT

Parties: NYSE EURONEXT
Document Date: 4/2/2007


45) COMMERCIAL PAPER DEALER AGREEMENT 4(2) PROGRAM

Parties: NYSE EURONEXT | MERRILL LYNCH MONEY MARKETS INC | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Document Date: 4/2/2007
Governing Law:New York


46) COMMERCIAL PAPER DEALER AGREEMENT

Parties: STARBUCKS CORP | BANC OF AMERICA SECURITIES LLC
Document Date: 3/27/2007
Industry: Restaurants
Governing Law:New York


47) COMMERCIAL PAPER DEALER AGREEMENT

Parties: STARBUCKS CORP | GOLDMAN, SACHS & CO
Document Date: 3/27/2007
Industry: Restaurants
Governing Law:New York


48) DEALER AGREEMENT

Parties: DENTSPLY INTERNATIONAL INC /DE/ | ENTSPLY INTERNATIONAL INC. | CITIBANK INTERNATIONAL plc
Document Date: 2/23/2007
Industry: Medical Equipment and Supplies


49) BROKER-CLIENT CONTRACT

Parties: AMISH NATURALS, INC.
Document Date: 2/16/2007
Governing Law:Nevada


50) SELECTED DEALER AGREEMENT

Parties: BEHRINGER HARVARD OPPORTUNITY REIT I, INC. | Ameriprise Financial Services, Inc.
Document Date: 2/6/2007
Governing Law:New York


Broker Dealer Agreement
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