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Rev. Form U4 (05/2009)
UNIFORM APPLICATION FOR SECURITIES INDUSTRY REGISTRATION O N OR TRANSFERINDIVIDUAL NAME:INDIVIDUAL CRD #:FIRM NAME:FIRM CRD #:
1. GENERAL INFORMATIONFIRST NAME:MIDDLE NAME:LAST
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Form U4 on tngov is needed by individuals who are applying for employment in Tennessee state government agencies or organizations.
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What is form u4 - tngov?
Form U4 is a uniform application for securities industry registration or transfer, used in the state of Tennessee for individuals seeking to register as securities professionals.
Who is required to file form u4 - tngov?
Individuals applying for registration in the securities industry, such as brokers or investment advisers, are required to file Form U4 with the Tennessee government.
How to fill out form u4 - tngov?
To fill out Form U4, one must provide personal information, employment history, disciplinary history, and any relevant financial disclosures as instructed in the form.
What is the purpose of form u4 - tngov?
The purpose of Form U4 is to denote the registration of individuals in the securities industry and to disclose any pertinent information regarding their professional background.
What information must be reported on form u4 - tngov?
Form U4 must report the individual's personal details, employment history, qualifications, criminal history, regulatory actions, and financial history.
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