August 5, 1991
TO: STATE SECURITIES MEMBERS NO. 32-91
UNIT INVESTMENT TRUST MEMBERS NO. 32-91
RE: FORMS FOR REGISTRATION OF INVESTMENT COMPANY SECURITIES IN
FLORIDA
__________________________________________________________
The Florida Division of Securities and Investor Protection
has revised the forms which they require for registration of
investment company securities in Florida. The revisions are non-
substantive, however, the Division requests that the appropriate
revised forms be used as of August 1, 1991.
The first form, Form DOSIP-S-3-91, is the one customarily
used for investment company registration by notification. The
second Form DOSIP-S-4-91 is used if any restrictions under
Section 517.082 (3) of the Florida statutes apply. (The
restrictions would be for companies not registered under the
Investment Company Act of 1940 or for securities not listed on a
recognized exchange.) Copies of both forms are attached.
Susan S. Burgess
Legal Assistant
Attachment