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Finra report Form: What You Should Know

Form U6 | FINRA.org Upcoming Filing Due Dates For Forms that are not in effect on the due date of the form, the due date is at least 14 days after the due date of the form as follows (except for Notice of Suspension, Suspension — Final Disposition, Suspension — Final Disposition — Alternative Dispute Resolution, Suspension — Final Disposition — Restated Form and Suspension — Final Disposition — Restated Form — Non-Suspension — Form of Accounting) Forms & Tools | FINRA.

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FAQ - Finra report

Do venture capital companies have to be licensed to get funding from lp's?
The SEC requires registration (of some) and there are FINRA reporting requirements depending on the size of the fund. Generally when a fund is raising over $10M. Under $10M there are exceptions to even qualifying an investor. Above $10M only a percentage must be accredited, based on certain parameters. Most VC ask for everyone to be accredited to avoid a sign of running afoul of the SEC, but can at their discretion take $5 from a homeless guy.Most all VCs require the individuals in an LP to submit tax returns for accreditation, but an Investment LP is not required to be accredited if it is formed as an Investment fund for the purpose. Essentially an LP registered with State or Federal as an Investor does not require accreditation. An unregistered entity must have the individuals accredited.This isnu2019t licensing per se, but many states have laws that require licensing of the fundraising (exemptions for Lawyers) and not the actual company itself.Most all of this is not enforced. Its great for the government to require things, (Red Tape production) but its not to their benefit to prosecute companies that enhance economic growth and job creation.
Are dark pools required to report their transacted trades eventually?
I was under the impression that the long 'blips' you see in AH are Dark Pool trades that are being reported from the previous (yesterday's) sesssion and that the reason they look the way they do (basically a long tail with no head) implies the max and min range at which they are trading, but no open or close. Which could make sense (for a dark pool)Alex Chen, If they are reported immediately, this is obviously not the case.But that leads to another question, what are these blips/prints whatever, if not DP reporting? What else could they be? Any insight would be appreciated. TY.
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