Legal Opinions

Year 2007


07-90000367-NA009
9/27/2007

MERRILL LYNCH CLIENT TRANSITION PROGRAM / RETIREES' CONTINUING COMPENSATION

Request that no enforcement action be taken if Merrill Lynch enters into certain arrangements with departing agents under which it will pay agents a percentage of compensation derived by the firm from payment of fees and commissions from departing agents' clients.

07-90000356-NA006
8/9/2007

T.J. RANEY & SONS, INC.

Request that no enforcement be taken against T.J. Raney & Sons, Inc. ("Raney") for entering into rental agreements with various Arkansas Banks.  Raney will pay a base rent to those banks plus a percentage of revenue and provide disclosures to clients under 17 CFR Section 275.206(4)-3. 

07-90000353-NA004
6/28/2007

 BRICKHOUSE GROUP, LLC

Request for issuance of a no action letter for Brickhouse Group, LLC based on the company issuing additional membership units to certain additional purchasers outlined by Ark. Code Ann. § 23-42-504 and applicable Rule 504.01(A)(12)(i).


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