Business Operations Contracts & Agreements in the Capital Markets Industry

1,051 Contracts & Agreements

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Administration Agreements (39 contracts from 25 companies)
Advisory Agreements (99 | 27)
Agency Agreements (20 | 14)
Code of Ethics (5 | 3)
Cooperation Agreements (3 | 3)
Development Agreements (1 | 1)
Distribution Agreements (43 | 17)
Indemnification Agreements (157 | 71)
Management Agreements (369 | 84)
Marketing Agreements (1 | 1)
MOUs (2 | 1)
Operating Agreements (40 | 16)
Power of Attorney (2 | 1)
Proxy Agreements (2 | 1)
Sales Agreements (35 | 13)
Services Agreements (147 | 54)
Settlement Agreements (33 | 21)
Supply Agreements (1 | 1)
Termination Agreements (23 | 19)
Voting Agreements (29 | 17)

Browse by Company

AFFILIATED MANAGERS GROUP, INC. (2 contracts)
ALLIANCEBERNSTEIN HOLDING L.P. (18)
ALTIMAR ACQUISITION CORP. (2)
Ameriprise Financial (1)
Apollo Global Management LLC (8)
APOLLO INVESTMENT CORP (7)
ARES CAPITAL CORP (4)
Ares Management Corp (8)
Artisan Partners Asset Management Inc. (20)
Ascendant Digital Acquisition Corp. (7)
Ashford Inc. (22)
AssetMark Financial Holdings, Inc. (5)
Associated Capital Group, Inc. (1)
B. Riley Financial, Inc. (6)
Bain Capital Specialty Finance, Inc. (2)
Barings BDC, Inc. (7)
BC Partners Lending Corp (2)
BGC Partners, Inc. (15)
BlackRock (3)
BlackRock Capital Investment Corp (9)
BlackRock Private Credit Fund (2)
BlackRock TCP Capital Corp. (1)
Blackstone Group L.P. (3)
Blackstone Private Credit Fund (6)
Blackstone Private Equity Strategies Fund L.P. (1)
Blucora, Inc. (22)
Bridge Investment Group Holdings Inc. (2)
BrightSphere Investment Group Inc. (3)
CAPITAL SOUTHWEST CORP (3)
Capitala Finance Corp. (2)
Carlyle Group L.P. (1)
Cboe Global Markets (4)
CERES ABINGDON L.P. (4)
CERES ORION L.P. (21)
Ceres Tactical Commodity L.P. (17)
CERES TACTICAL CURRENCY L.P. (17)
CERES TACTICAL SYSTEMATIC L.P. (49)
Charles Schwab Corporation (3)
CION Investment Corp (17)
CM Finance Inc (2)
CME Group Inc. (5)
Cohen & Co Inc. (19)
COHEN & STEERS INC (1)
Coinbase Global, Inc. (1)
CONCIERGE TECHNOLOGIES INC (1)
ContextLogic Inc. (3)
COWEN INC. (1)
Crescent Capital BDC, Inc. (5)
DIAMOND HILL INVESTMENT GROUP INC (2)
Donnelley Financial Solutions, Inc. (2)
E*Trade (9)
ENDI Corp. (4)
ENTERPRISE DIVERSIFIED, INC. (9)
EQUUS TOTAL RETURN, INC. (7)
Evercore (1)
Federated Investors (1)
FIDUS INVESTMENT Corp (2)
FinTech Acquisition Corp. IV (3)
Firsthand Technology Value Fund, Inc. (1)
Focus Financial Partners Inc. (18)
Franklin Resources (28)
Freedom Holding Corp. (1)
FS KKR Capital Corp (21)
GAIN Capital Holdings, Inc. (1)
GAMCO INVESTORS, INC. ET AL (1)
Garrison Capital Inc. (5)
GCM Grosvenor Inc. (3)
GLADSTONE CAPITAL CORP (8)
GLADSTONE INVESTMENT CORPORATION (11)
GlassBridge Enterprises, Inc. (13)
Goldman Sachs (3)
GOLUB CAPITAL BDC, Inc. (4)
Great Elm Capital Corp. (3)
Great Elm Capital Group, Inc. (3)
Greenpro Capital Corp. (5)
GSV Capital Corp. (5)
Hamilton Lane INC (1)
HENNESSY ADVISORS INC (13)
Hercules Capital, Inc. (8)
Heritage Global Inc. (3)
Horizon Technology Finance Corp (12)
HOULIHAN LOKEY, INC. (3)
Indo Global Exchange(s) Pte, Ltd. (3)
Interactive Brokers (3)
INTL FCStone Inc. (1)
Investment Technology Group, Inc. (2)
Janus Henderson Group plc (4)
KCAP Financial, Inc. (6)
KKR & Co. Inc. (13)
LADENBURG THALMANN FINANCIAL SERVICES INC. (3)
Lazard Ltd (9)
Legg Mason Inc (4)
LPL Financial Holdings Inc. (5)
Main Street Capital CORP (2)
Manning & Napier, Inc. (7)
MarketAxess Holdings Inc (2)
Medley Capital Corp (7)
MEDLEY MANAGEMENT INC. (4)
Moelis & Co (17)
MONROE CAPITAL Corp (4)
Moody's Corp (4)
MORGAN STANLEY ABS CAPITAL I INC CDC MOR CAP TR 2004-HE2 (1)
MORGAN STANLEY SMITH BARNEY CHARTER ASPECT L.P. (2)
MORGAN STANLEY SMITH BARNEY CHARTER CAMPBELL LP (3)
MORGAN STANLEY SMITH BARNEY CHARTER WNT L.P. (3)
MORGAN STANLEY SMITH BARNEY SPECTRUM SELECT LP (5)
MORGAN STANLEY SMITH BARNEY SPECTRUM STRATEGIC LP (11)
MORGAN STANLEY SMITH BARNEY SPECTRUM TECHNICAL LP (8)
Morningstar, Inc. (3)
MSCI Inc (6)
MVC CAPITAL, INC. (6)
Nasdaq, Inc. (6)
NATIONAL HOLDINGS CORP (8)
Nebula Parent Corp. (3)
New Mountain Finance Corp (3)
NewHold Investment Corp. II (3)
Newtek Business Services Corp. (12)
Oaktree Specialty Lending Corp (13)
Oaktree Strategic Income Corp (9)
Och-Ziff Capital Management Group LLC (33)
OFS Capital Corp (2)
Owl Rock Capital Corp (6)
Oxford Square Capital Corp. (7)
P10, Inc. (1)
PennantPark Floating Rate Capital Ltd. (12)
PENNANTPARK INVESTMENT CORP (5)
Piper Jaffray Companies (10)
PJT Partners Inc. (2)
PRINCETON CAPITAL CORP (11)
PROSPECT CAPITAL CORP (3)
Pzena Investment Management, Inc. (22)
RAND CAPITAL CORP (5)
Raymond James Financial Inc. (3)
Robinhood Markets, Inc. (5)
Runway Growth Credit Fund Inc. (1)
S&P Global, Inc. (2)
SAFEGUARD SCIENTIFICS INC (4)
SIEBERT FINANCIAL CORP (2)
Silvercrest Asset Management Group Inc. (7)
Solar Capital Ltd. (4)
Solar Senior Capital Ltd. (3)
State Street Corp. (5)
StepStone Group Inc. (1)
Stifel Financial Corp (2)
T. Rowe Price Group (1)
Tango Holdings, Inc. (2)
TCG BDC, INC. (1)
TD AMERITRADE HOLDING CORP (6)
The Bank of New York Mellon Corp. (7)
TPG Partners, LLC (13)
TPG Specialty Lending, Inc. (3)
Tradeweb Markets Inc. (1)
Trinity Capital Inc. (1)
TriplePoint Venture Growth BDC Corp. (2)
U S GLOBAL INVESTORS INC (7)
ValueSetters Inc. (1)
Victory Capital Holdings, Inc. (1)
Virtu Financial, Inc. (4)
Virtus Investment Partners, Inc. (1)
VPC Impact Acquisition Holdings (9)
Waddell & Reed Financial, Inc. (31)
WESTWOOD HOLDINGS GROUP INC (5)
WhiteHorse Finance, Inc. (6)
WisdomTree Investments, Inc. (3)
Wright Investors Service Holdings, Inc. (4)

Recent Contracts

Amendment No. 3 to the Transaction Agreement, dated March 13, 2024, between TPG Operating Group II, L.P. and API Representative, LLC (TPG Partners, LLC, Filed With SEC on May 8, 2024)
Acknowledgment and Agreement, effective as of March, 1, 2024, between Frederick E. Pollock and Grosvenor Capital Management, L.P (GCM Grosvenor Inc., Filed With SEC on May 8, 2024)
Sales Agreement, dated as of May 2, 2024, by and among the Company, TriplePoint Advisers LLC, TriplePoint Administrator LLC and the Sales Agent (TriplePoint Venture Growth BDC Corp., Filed With SEC on May 2, 2024)
ATM Equity Offering Sales Agreement, dated April 22, 2024, between the Company and BofA Securities, Inc (COHEN & STEERS INC, Filed With SEC on April 22, 2024)
Amended and Restated Master Project Management Agreement, dated March 12, 2024, by and among Ashford Hospitality Limited Partnership, Ashford TRS Corporation and Premier Project... (Ashford Inc., Filed With SEC on March 27, 2024)
Second Consolidated, Amended and Restated Hotel Master Management Agreement, dated as (Ashford Inc., Filed With SEC on March 27, 2024)
Third Amended and Restated Advisory Agreement, dated as of March 12, 2024, by and between Ashford Hospitality Trust, Inc., Ashford Hospitality Limited Partnership, Ashford TRS... (Ashford Inc., Filed With SEC on March 15, 2024)
Amendment No. 9, dated as of January 22, 2021, and Amendment No. 10, dated as of March 25, 2021, to the Subcustodial and Services Agreement by and between Fidelity Brokerage... (AssetMark Financial Holdings, Inc., Filed With SEC on March 14, 2024)
Second Amendment, dated September 5, 2017, to the Master Services Agreement (AssetMark Financial Holdings, Inc., Filed With SEC on March 14, 2024)
First Amendment to Beta Services Agreement, dated July 20, 2022, by and between Beta Plus Technologies, Inc. and AssetMark Financial Holdings, Inc (AssetMark Financial Holdings, Inc., Filed With SEC on March 14, 2024)
Second Amended and Restated Investment Advisory Agreement, dated February 22, 2024, between Registrant and WhiteHorse Advisers (WhiteHorse Finance, Inc., Filed With SEC on March 5, 2024)
Form of Voting Support Agreement (VPC Impact Acquisition Holdings, Filed With SEC on March 4, 2024)
Form of Diamond Hill Investment Group, Inc. Executive Officer and Director Indemnification Agreement (DIAMOND HILL INVESTMENT GROUP INC, Filed With SEC on February 29, 2024)
Second Amended and Restated Investment Advisory Agreement (BlackRock Private Credit Fund, Filed With SEC on February 29, 2024)
Amended and Restated Distribution and Service Plan (BlackRock Private Credit Fund, Filed With SEC on February 29, 2024)
Form of Restricted Holdings Unit Agreement of KKR & Co. Inc. (Executive Officers) (Service Condition) (KKR & Co. Inc., Filed With SEC on February 29, 2024)
Form of Indemnification Agreement for Directors of KKR & Co. Inc (KKR & Co. Inc., Filed With SEC on February 29, 2024)
Second Amendment to the Seventh Amended and Restated Limited Liability Company Agreement of Acadian Asset Management LLC, dated December 30, 2023 (BrightSphere Investment Group Inc., Filed With SEC on February 28, 2024)
Seventh Amended and Restated Limited Partnership Agreement of TPG Operating Group II, L.P., dated as of November 1, 2023, among TPG Holdings II-A, LLC and the limited partners of... (TPG Partners, LLC, Filed With SEC on February 23, 2024)
Master Services Agreement dated February 22, 2024 by and between Moelis & Company Group LP, Moelis Asset Management LP and certain subsidiaries of Moelis Asset Management LP (Moelis & Co, Filed With SEC on February 22, 2024)
Form of Second Amended and Restated Director Indemnification Agreement (Cboe Global Markets, Filed With SEC on February 16, 2024)
Investment Management Agreement (Blackstone Private Equity Strategies Fund L.P., Filed With SEC on January 8, 2024)
Termination and Settlement Agreement, dated December 19, 2023 (SIEBERT FINANCIAL CORP, Filed With SEC on December 20, 2023)
Termination Letter Agreement by and between the Company and Mark A. Herndon, dated December 15, 2023 (SAFEGUARD SCIENTIFICS INC, Filed With SEC on December 18, 2023)
Termination Letter Agreement by and between the Company and Eric C. Salzman, dated December 15, 2023 (SAFEGUARD SCIENTIFICS INC, Filed With SEC on December 18, 2023)
SubAdvisory Agreement, dated as of July14, 2023, between the registrant and Vident Advisory, LLC (for the Hennessy Stance ESG ETF (trading subadvisor)) (HENNESSY ADVISORS INC, Filed With SEC on December 7, 2023)
First Amendment to Investment Advisory Agreement, dated as of April 28, 2023, between the registrant and Hennessy Funds Trust (on behalf of the Hennessy Stance ESG ETF) (HENNESSY ADVISORS INC, Filed With SEC on December 7, 2023)
Investment Advisory Agreement, dated as of December22, 2022, between the registrant and Hennessy Funds Trust (on behalf of the Hennessy Stance ESG ETF) (HENNESSY ADVISORS INC, Filed With SEC on December 7, 2023)
First Amendment to Investment Advisory Agreement, dated as of February 28, 2017, between the registrant and Hennessy Funds Trust (on behalf of the Hennessy Focus Fund, the... (HENNESSY ADVISORS INC, Filed With SEC on December 7, 2023)
Advisory Agreement, by and among Stirling Hotels & Resorts, Inc., Stirling REIT OP, LP, Stirling TRS Corporation and Stirling REIT Advisors, LLC, dated December 6, 2023 (Ashford Inc., Filed With SEC on December 6, 2023)
Termination Agreement, dated as of November 20, 2023, by and between Gold Bullion Holdings (Jersey) Limited and WisdomTree, Inc (WisdomTree Investments, Inc., Filed With SEC on November 20, 2023)
Amendment No. 1 to the Transaction Agreement, dated October 3, 2023, among TPG Operating Group II, L.P., AG GP, LLC and API Representative, LLC (TPG Partners, LLC, Filed With SEC on November 2, 2023)
Indemnification Agreement, dated as of September 25, 2023, by and between GlassBridge Enterprises, Inc. and Claire Councill (GlassBridge Enterprises, Inc., Filed With SEC on September 29, 2023)
Indemnification Agreement, dated as of September 25, 2023, by and between GlassBridge Enterprises, Inc. and Keri Findley (GlassBridge Enterprises, Inc., Filed With SEC on September 29, 2023)
Second Amended and Restated Investment Management 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)
Amendment No. 1 to the Equity Distribution Agreement, dated as of August 22, 2023, by and among Oxford Square Capital Corp., Oxford Square Management, LLC, Oxford Funds, LLC and... (Oxford Square Capital Corp., Filed With SEC on August 23, 2023)
Equity Distribution Agreement, dated as of August 11, 2023, by and among PennantPark Floating Rate Capital, Ltd., PennantPark Investment Advisers, LLC, PennantPark Investment... (PennantPark Floating Rate Capital Ltd., Filed With SEC on August 11, 2023)
Equity Distribution Agreement, dated as of August 11, 2023, by and among PennantPark Floating Rate Capital, Ltd., PennantPark Investment Advisers, LLC, PennantPark Investment... (PennantPark Floating Rate Capital Ltd., Filed With SEC on August 11, 2023)
Equity Distribution Agreement, dated as of August 11, 2023, by and among PennantPark Floating Rate Capital, Ltd., PennantPark Investment Advisers, LLC, PennantPark Investment... (PennantPark Floating Rate Capital Ltd., Filed With SEC on August 11, 2023)
First Amendment to Sales Agreement, dated as of August 7, 2023, by and among the Company, Gladstone Management Corporation, Gladstone Administration, LLC and Virtu Americas LLC (GLADSTONE INVESTMENT CORPORATION, Filed With SEC on August 8, 2023)