October 4, 1991
TO: STATE SECURITIES MEMBERS NO. 44-91
UNIT INVESTMENT TRUST MEMBERS NO. 48-91
RE: REVISED KANSAS FORM TO CLAIM BLUE CHIP EXEMPTION
__________________________________________________________
As we previously informed you, Kansas will become the
eleventh state to adopt the blue chip exemption from registration
for qualified mutual funds and unit trusts on November 11, 1991.
(See Memorandum to State Securities Members No. 43-91, Unit
Investment Trust Members No. 44-91, dated September 26, 1991.)
The Kansas Securities Commission has revised the Notice of
Intention to Sell Securities, Form K-14, to require the CRD
number for broker-dealers and issuer agents. In addition, the
form instructs applicants to submit an additional copy of the
form and a self-addressed stamped envelope for verification of
the exemption. A copy of revised Form K-14 is attached.
Patricia Louie
Assistant General Counsel
Attachment