Legal Opinions
Year 2007
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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. |
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07-90000356-NA006 8/9/2007 |
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. |
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07-90000353-NA004 6/28/2007 |
Request for issuance of 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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