Capital Markets Industry Guarantee Agreements

Guarantee Agreement dated (Freedom Holding Corp., Filed With SEC on November 8, 2024)

Limited Guarantee, dated of May 10, 2023, by and between B. Riley Financial, Inc. and Franchise Group, Inc (B. Riley Financial, Inc., Filed With SEC on May 11, 2023)

Guarantee Agreement No., dated August 10, 2021, between Freedom Holding Corp. and Freedom Finance SPC Ltd (Freedom Holding Corp., Filed With SEC on November 22, 2021)

Franklin Resources, Inc. Parent Guarantee dated August 2, 2021 (Franklin Resources, Filed With SEC on August 3, 2021)

Amended and Restated Guarantee, Pledge and Security Agreement, dated as of April 24, 2019, by and among the Company, as borrower, the subsidiary guarantors party thereto, ING... (FIDUS INVESTMENT Corp, Filed With SEC on April 24, 2019)

Guarantee, Pledge and Security Agreement, dated as of February 21, 2019, by and among the Company, as borrower, the subsidiary guarantors party thereto, ING Capital LLC, as... (Barings BDC, Inc., Filed With SEC on February 27, 2019)

Goldman Sachs Bank USA Amended and Restated General Guarantee Agreement, dated September 28, 2018 (Goldman Sachs, Filed With SEC on September 28, 2018)

Limited Guarantee, dated as of June 17, 2018 by and among the Company, Vintage RTO, L.P. and Rodeo (B. Riley Financial, Inc., Filed With SEC on June 20, 2018)

Guarantee and Security Agreement, dated as of October 10, 2017 (Stellus Capital Investment Corp, Filed With SEC on October 13, 2017)

Guarantee, dated as of September 15, 2017, made by the Company in favor of CMC Magnetics Corporation (GlassBridge Enterprises, Inc., Filed With SEC on September 18, 2017)

[FORM OF AMENDMENTNO. 1 TO GUARANTEE, PLEDGE AND SECURITY AGREEMENT] AMENDMENT NO. 1 TO GUARANTEE, PLEDGE AND SECURITY AGREEMENT (Capitala Finance Corp., Filed With SEC on June 21, 2017)

VIRTUS INVESTMENT PARTNERS, INC. GUARANTEE AGREEMENT among VIRTUS INVESTMENT PARTNERS, INC., EACH OF THE SUBSIDIARY GUARANTORS PARTY HERETO and THE BANK OF NEW YORK MELLON, as... (Virtus Investment Partners, Inc., Filed With SEC on October 5, 2016)

GUARANTEE OF C*ON INVESTMENT CORPORATION. (CION Investment Corp, Filed With SEC on September 1, 2016)

GUARANTEE AGREEMENT by and between THE GOLDMAN SACHSGROUP, INC., as Guarantor and The Bank of New York Mellon, as Guarantee Trustee relating to GOLDMAN SACHSCAPITAL III (Formerly... (Goldman Sachs, Filed With SEC on March 23, 2016)

GUARANTEE AGREEMENT by and between THEGOLDMAN SACHS GROUP, INC., as Guarantor and The Bank of New York Mellon, as Guarantee Trustee relating to GOLDMAN SACHSCAPITAL II (Formerly... (Goldman Sachs, Filed With SEC on March 23, 2016)

AMENDED AND RESTATED GUARANTEE AGREEMENT (MarketAxess Holdings Inc, Filed With SEC on November 3, 2015)

GUARANTEE AGREEMENT dated as of August 18, 2015 among ORIX USA CORPORATION and HOULIHAN LOKEY CAPITAL (HOLDINGS) LTD. (HOULIHAN LOKEY, INC., Filed With SEC on August 21, 2015)

GFI Group Inc., as Issuer, and BGC Partners, Inc., as Guarantor GUARANTEE (BGC Partners, Inc., Filed With SEC on July 10, 2015)

[FORM OF GUARANTEE, PLEDGE AND SECURITYAGREEMENT] GUARANTEE, PLEDGE AND SECURITY AGREEMENT dated as of October 17, 2014 among CAPITALA FINANCE CORP., as Borrower, the SUBSIDIARY... (Capitala Finance Corp., Filed With SEC on October 21, 2014)

GUARANTEE AND COLLATERAL AGREEMENT dated as of August 19, 2014 among MEDLEY LLC, the Subsidiary Guarantors from time to time party hereto and CITY NATIONAL BANK, as Collateral... (MEDLEY MANAGEMENT INC., Filed With SEC on September 3, 2014)

FORM OF GUARANTEE AND SECURITY AGREEMENT (New Mountain Finance Corp, Filed With SEC on June 10, 2014)

GUARANTEE, PLEDGE AND SECURITY AGREEMENT dated as of April 3, 2014 among FS INVESTMENTCORPORATION, as Borrower TheSUBSIDIARY GUARANTORS Party Hereto ING CAPITAL LLC, as Revolving... (FS KKR Capital Corp, Filed With SEC on April 4, 2014)

GUARANTEE AGREEMENT (MarketAxess Holdings Inc, Filed With SEC on January 17, 2013)

VIRTUS INVESTMENT PARTNERS, INC. REAFFIRMATION OF GUARANTEE (Virtus Investment Partners, Inc., Filed With SEC on November 7, 2012)

AMENDED AND RESTATED GENERAL GUARANTEE AGREEMENT (Goldman Sachs, Filed With SEC on November 21, 2011)

GUARANTEE, PLEDGE AND SECURITY AGREEMENT dated as of August 4, 2011 among MEDLEY CAPITAL CORPORATION, as Borrower The SUBSIDIARY GUARANTORS Party Hereto ING CAPITAL LLC, as... (Medley Capital Corp, Filed With SEC on August 9, 2011)

EX-10.1: GENERAL GUARANTEE AGREEMENT BETWEEN GROUP INC AND GSEC (Goldman Sachs, Filed With SEC on May 10, 2010)

EX-10.51: AMENDED GUARANTEE AGREEMENT BETWEEN GROUP INC. AND GS BANK (Goldman Sachs, Filed With SEC on March 1, 2010)

EX-10.60: GUARANTEE AGREEMENT - GS BANK USA (Goldman Sachs, Filed With SEC on January 27, 2009)

EX-10.59: GENERAL GUARANTEE AGREEMENT - GS BANK EUROPE (Goldman Sachs, Filed With SEC on January 27, 2009)

GUARANTEE AND COLLATERAL AGREEMENT made by VIRTUS INVESTMENT PARTNERS INC. and certain of its Subsidiaries in favor of PHOENIX LIFE INSURANCE COMPANY, as Lender Dated as of... (Virtus Investment Partners, Inc., Filed With SEC on January 6, 2009)

EX-10.2: GENERAL GUARANTEE AGREEMENT (Goldman Sachs, Filed With SEC on October 8, 2008)

GUARANTEE AND SUPPORT AGREEMENT (E*Trade, Filed With SEC on July 16, 2008)

GUARANTEE AGREEMENT by and between THE CHARLES SCHWAB CORPORATION, as Guarantor (Charles Schwab Corporation, Filed With SEC on October 5, 2007)

GUARANTEE OF ALESCO FINANCIAL INC. (Cohen & Co Inc., Filed With SEC on August 9, 2007)

GUARANTEEAGREEMENT by and between STATE STREET CORPORATION, as GUARANTOR AND U.S. BANK NATIONAL ASSOCIATION, as GUARANTEE TRUSTEE relating to STATE STREET CAPITAL TRUST IV Dated... (State Street Corp., Filed With SEC on April 30, 2007)

EX-10.45: GENERAL GUARANTEE AGREEMENT, DATED JANUARY 30, 2006 (Goldman Sachs, Filed With SEC on February 7, 2006)

EX-4.4: GUARANTEE AGREEMENT (Goldman Sachs, Filed With SEC on April 6, 2004)

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Guarantee Agreements in the Capital Markets Industry