Waiver Agreements in the Capital Markets Industry
36 Contracts & Agreements
- Apollo Global Management LLC (1 contract)
- ARES CAPITAL CORP (3)
- Ashford Inc. (5)
- B. Riley Financial, Inc. (2)
- BlackRock Private Credit Fund (1)
- BlackRock TCP Capital Corp. (1)
- Capitala Finance Corp. (1)
- CME Group Inc. (1)
- Crescent Capital BDC, Inc. (1)
- LPL Financial Holdings Inc. (3)
- Morgan Stanley (1)
- New Mountain Finance Corp (2)
- Oaktree Specialty Lending Corp (1)
- Owl Rock Capital Corp (1)
- Pzena Investment Management, Inc. (1)
- Raymond James Financial Inc. (1)
- SAFEGUARD SCIENTIFICS INC (4)
- SIEBERT FINANCIAL CORP (1)
- State Street Corp. (1)
- Stellus Capital Investment Corp (1)
- Tango Holdings, Inc. (1)
- TD AMERITRADE HOLDING CORP (1)
- The Bank of New York Mellon Corp. (1)
- Fee Waiver Agreement between BlackRock TCP Capital Corp. and Tennenbaum Capital Partners, LLC, dated as of September 6, 2023 (BlackRock TCP Capital Corp., Filed With SEC on September 6, 2023)
- Fee Waiver Letter Delivered to New Mountain Finance Corporation by New Mountain Finance Advisers BDC, L.L.C., dated as of August 7, 2023 (New Mountain Finance Corp, Filed With SEC on August 9, 2023)
- Second Amended and Restated Fee Waiver and Expense Support and Reimbursement Agreement (BlackRock Private Credit Fund, Filed With SEC on April 27, 2023)
- Limited Waiver Under Advisory Agreement, dated as of March 2, 2023, by and among Ashford Hospitality Trust, Inc., Ashford Hospitality Limited Partnership, Ashford TRS Corporation,... (Ashford Inc., Filed With SEC on March 3, 2023)
- Limited Waiver Under Advisory Agreement, dated as of March 2, 2023, by and among Braemar Hotels & Resorts Inc., Braemar Hospitality Limited Partnership, Braemar TRS Corporation,... (Ashford Inc., Filed With SEC on March 3, 2023)
- Waiver to Amended and Restated Tax Receivable Agreement, dated May 2, 2022 (Tango Holdings, Inc., Filed With SEC on May 10, 2022)
- Waiver to Amended and Restated Tax Receivable Agreement, dated May 2, 2022 (Apollo Global Management LLC, Filed With SEC on May 10, 2022)
- Limited Waiver Under Advisory Agreement, dated as of March 15, 2022, by and among Ashford Hospitality Trust, Inc., Ashford Hospitality Limited Partnership, Ashford TRS... (Ashford Inc., Filed With SEC on March 16, 2022)
- Limited Waiver Under Advisory Agreement, dated as of March 10, 2022, by and among Braemar Hotels & Resorts Inc., Braemar Hospitality Limited Partnership, Braemar TRS Corporation,... (Ashford Inc., Filed With SEC on March 16, 2022)
- Fee Waiver Letter Delivered to New Mountain Finance Corporation by New Mountain Finance Advisers BDC, L.L.C (New Mountain Finance Corp, Filed With SEC on November 3, 2021)
- Fee Waiver Agreement, dated as of July 1, 2021, between Logan Ridge Finance Corporation and Mount Logan Management LLC (Capitala Finance Corp., Filed With SEC on July 1, 2021)
- Waiver Agreement, dated February 27, 2019, between the Company and the Adviser (Owl Rock Capital Corp, Filed With SEC on February 27, 2019)
- Limited Waiver and Agreement, dated as of November 9, 2018, by and between B. Riley Financial, Inc. and magicJack VocalTec Ltd (B. Riley Financial, Inc., Filed With SEC on November 20, 2018)
- Amended and Restated Advisory Fee Waiver Agreement, dated August 7, 2018, by and between the Company and the Advisor (Crescent Capital BDC, Inc., Filed With SEC on August 10, 2018)
- Consent and Waiver, dated March 28, 2018, between the Registrant, as a borrower, the lenders party hereto and ZB, N.A. dba Amegy Bank, as administrative agent (Stellus Capital Investment Corp, Filed With SEC on May 8, 2018)
- CONSENTAND WAIVER (SIEBERT FINANCIAL CORP, Filed With SEC on April 6, 2017)
- AMENDMENT, WAIVER AND CONSENT AGREEMENT (Ashford Inc., Filed With SEC on November 1, 2016)
- AMENDMENT AND WAIVER TO MANAGEMENT STOCKHOLDERS' AGREEMENT (LPL Financial Holdings Inc., Filed With SEC on February 26, 2013)
- ACKNOWLEDGMENT, WAIVER, AND AMENDMENT AGREEMENT (Raymond James Financial Inc., Filed With SEC on August 8, 2012)
- AMENDMENT AND WAIVER TO MANAGEMENT STOCKHOLDERS' AGREEMENT (LPL Financial Holdings Inc., Filed With SEC on August 1, 2012)
- AMENDMENT AND WAIVER TO MANAGEMENT STOCKHOLDERS AGREEMENT (LPL Financial Holdings Inc., Filed With SEC on June 5, 2012)
- WAIVER LETTER (Oaktree Specialty Lending Corp, Filed With SEC on November 29, 2011)
- FORM OF WAIVER (B. Riley Financial, Inc., Filed With SEC on August 4, 2011)
- [FORM OF WAIVER] (Pzena Investment Management, Inc., Filed With SEC on December 23, 2009)
- AMENDMENT NO. 1 AND LIMITED WAIVER TO CREDITAGREEMENT (CME Group Inc., Filed With SEC on November 6, 2009)
- WAIVER AND AMENDMENT NO. 7 TO SALE AND SERVICINGAGREEMENT (VFCC Transaction with Ares Capital CP Funding LLC) (ARES CAPITAL CORP, Filed With SEC on March 2, 2009)
- WAIVER AND AMENDMENT NO. 8 TO SALE AND SERVICINGAGREEMENT (VFCC Transaction with Ares Capital CP Funding LLC) (ARES CAPITAL CORP, Filed With SEC on March 2, 2009)
- FORM OF WAIVER (State Street Corp., Filed With SEC on February 27, 2009)
- WAIVER (Morgan Stanley, Filed With SEC on January 29, 2009)
- FORM OF WAIVER (The Bank of New York Mellon Corp., Filed With SEC on October 30, 2008)
- SECOND AMENDMENT AND WAIVER TO (SAFEGUARD SCIENTIFICS INC, Filed With SEC on March 5, 2008)
- SECOND AMENDMENT AND WAIVER TO (SAFEGUARD SCIENTIFICS INC, Filed With SEC on March 5, 2008)
- FIRST AMENDMENT AGREEMENTAND WAIVER (ARES CAPITAL CORP, Filed With SEC on November 14, 2007)
- First Amendment and Waiver (SAFEGUARD SCIENTIFICS INC, Filed With SEC on May 10, 2007)
- First Amendment and Waiver (SAFEGUARD SCIENTIFICS INC, Filed With SEC on May 10, 2007)
- Consent, Waiver & Amendment (TD AMERITRADE HOLDING CORP, Filed With SEC on December 13, 2002)
