Participation Agreements in the Capital Markets Industry

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FIRST AMENDMENT TO THE PROFIT PARTICIPATION PLAN OF MOODYS CORPORATION (AS AMENDED AND RESTATED AS OF JANUARY 1, 2010)
Participation Agreements
Moody's Corp
Capital Markets
2012
First Amendment to Participation Agreement, dated as of September 9, 2023, between Avantax, Inc. and Christopher W. Walters
Participation Agreements
Blucora, Inc.
2023
First Amendment to the Profit Participation Plan of Moodys Corporation (effective January 1, 2020)
Participation Agreements
Moody's Corp
Capital Markets
2022
Profit Participation Plan of Moodys Corporation (amended and restated as of January 1, 20
Participation Agreements
Moody's Corp
Capital Markets
2021
Newmark Holdings, L.P. Participation Plan
Participation Agreements
BGC Partners, Inc.
Capital Markets
DE
2017
MASTER PARTICIPATION AGREEMENT
Participation Agreements
CION Investment Corp
Capital Markets
2016
SECOND AMENDMENT TO THE PROFIT PARTICIPATION PLAN OF MOODYS CORPORATION
Participation Agreements
Moody's Corp
Capital Markets
2016
FIRST AMENDMENT TO THE PROFIT PARTICIPATION PLAN OF MOODYS CORPORATION
Participation Agreements
Moody's Corp
Capital Markets
2015
PROFIT PARTICIPATION PLAN OF MOODYS CORPORATION (amended and restatedas of January 1, 2014)
Participation Agreements
Moody's Corp
Capital Markets
2015
SEVENTH AMENDMENT TO THE PROFIT PARTICIPATION PLAN OF MOODYS CORPORATION
Participation Agreements
Moody's Corp
Capital Markets
2014
Form of Participation Agreement as of __________, 20__ Franklin Templeton Variable Insurance Products Trust Franklin/Templeton Distributors, Inc. [Company] [Company Distributor]...
Participation Agreements
Franklin Resources
Capital Markets
NY
2013
FIFTH AMENDMENT TO THE PROFIT PARTICIPATION PLAN OF MOODYS CORPORATION
Participation Agreements
Moody's Corp
Capital Markets
2013
FOURTH AMENDMENT TO THE PROFIT PARTICIPATION PLAN OF MOODYS CORPORATION
Participation Agreements
Moody's Corp
Capital Markets
2013
Representative Form of Participation Agreement Addendum Franklin Templeton Variable Insurance Products Trust Franklin/Templeton Distributors, Inc. Insurance_Company Distributor
Participation Agreements
Franklin Resources
Capital Markets
2012
Form of Participation Agreement as of __________, 20__ Franklin Templeton Variable Insurance Products Trust Franklin/Templeton Distributors, Inc. [Company] [Company Distributor]...
Participation Agreements
Franklin Resources
Capital Markets
NY
2012
THIRD AMENDMENT TO THE PROFIT PARTICIPATION PLAN OF MOODYS CORPORATION
Participation Agreements
Moody's Corp
Capital Markets
2012
SECOND AMENDMENT TO THE PROFIT PARTICIPATION PLAN OF MOODYS CORPORATION
Participation Agreements
Moody's Corp
Capital Markets
2012
PROFIT PARTICIPATION PLAN OF MOODYS CORPORATION (amended and restated as of January 1, 2010) Table of Contents
Participation Agreements
Moody's Corp
Capital Markets
2011
THIRD AMENDMENT TO THE PROFIT PARTICIPATION PLAN OF MOODYS CORPORATION
Participation Agreements
Moody's Corp
Capital Markets
2011
Participation Agreement Addendum
Participation Agreements
Franklin Resources
Capital Markets
2009
Participation Agreement as of , 2009
Participation Agreements
Franklin Resources
Capital Markets
NY
2009
BGC HOLDINGS, L.P. PARTICIPATION PLAN
Participation Agreements
BGC Partners, Inc.
2008
PROFIT PARTICIPATION PLAN OF MOODYS CORPORATION (amended and restated as of January 1, 2007) Table of Contents
Participation Agreements
Moody's Corp
2008
Target Funds Participation Agreement (Excludes Products Sold Through W&R DistributionSystem)
Participation Agreements
Waddell & Reed Financial, Inc.
2008
MORGAN STANLEY TAX DEFERRED EQUITY PARTICIPATION PLAN
Participation Agreements
Morgan Stanley
Capital Markets
DE
2008
MORGAN STANLEY TAX DEFERRED EQUITY PARTICIPATION PLAN
Participation Agreements
Morgan Stanley
Capital Markets
DE
2007
MASTER PAR/NEAR PAR PARTICIPATION AGREEMENT
Participation Agreements
KCAP Financial, Inc.
Capital Markets
NY
2006
MORGAN STANLEY TAX DEFERRED EQUITY PARTICIPATION PLAN
Participation Agreements
Morgan Stanley
2006
Amendment to the Tax Deferred Equity Participation Plan
Participation Agreements
Morgan Stanley
2005
PARTICIPATION AGREEMENT
Participation Agreements
Goldman Sachs
2000