FacultyFaculty/Author Profile

Minh Le

FINRA Corporate Financing Regulation
Director
Rockville, MD, USA


Minh Q. Le is a Director in FINRA’s Corporate Financing Department.  He has more than 20 years of experience in the regulation of public and private offerings.

Currently, Minh’s primary responsibility is the management of the Department’s Private Placement Review program which provides regulatory oversight of broker-dealer participation in private offerings.  In addition to overseeing the review and investigation program, Minh’s duties include developing policy and providing guidance on corporate financing and other capital-raising related issues.  Minh also routinely provides subject matter expertise to FINRA’s Examination and Enforcement staffs.

Building on this experience, Minh has served as a member on each of FINRA’s Regulatory Specialist committees for Public Offerings, Private Placements, and Non-traded Direct Participation Programs (DPP) and Real Estate Investment Trusts (REIT), and was a member of FINRA’s Risk Assessment Committee.  For the past 15 years, he has been a member of FINRA’s Sales Rep and DPP/REIT Qualifications Committees.

Prior to his involvement in developing FINRA’s private placement rules and their corresponding filing program, Minh managed the Department’s Public Offerings Review program, which is responsible for regulating underwriting terms and arrangements in public offerings.  He is also responsible for handling interpretive and exemption requests made to the Department.

Minh graduated from the University of Maryland, attended the University of Pennsylvania’s Wharton Institute of Executive Education, and is a Certified Regulatory and Compliance Professional.

Minh Le is associated with the following items:
Web Segment  Web Segment Practical Considerations for Broker-Dealers Acting as Placement Agents in Exempt Offerings - Private Placement and Hybrid Securities Offerings 2018, Wednesday, May 23, 2018
MP3 Audio  MP3 Audio Practical Considerations for Broker-Dealers Acting as Placement Agents in Exempt Offerings - Practical Considerations for Broker-Dealers Acting as Placement Agents in Exempt Offerings, Wednesday, May 23, 2018
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Practical Considerations for Broker-Dealers Acting as Placement Agents in Exempt Offerings - Practical Considerations for Broker-Dealers Acting as Placement Agents in Exempt Offerings, Wednesday, May 23, 2018
On-Demand Web Programs  On-Demand Web Programs Private Placement and Hybrid Securities Offerings 2018, Tuesday, May 29, 2018, New York, NY
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