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Minh Q. Le – FINRA: The Financial Industry Regulatory Authority (Zoom)


Posted on January 21st

Minh Q. Le is a Director in FINRA’s Corporate Financing Department with over 25 years of experience in the regulation of public and private offerings. Currently, Mr. Le manages the Department’s Private Placement Review program which conducts regulatory oversight of broker-dealer participation in retail private offerings. In addition to overseeing the review and investigation program, Minh’s duties include developing policy and providing guidance on corporate financing, investment banking and other capital-raising related issues. He also is responsible for providing subject matter expertise to FINRA’s Examination and Enforcement staffs and on occasion testimony for hearings and regulatory proceedings. For the past 20 years, he has been a member of FINRA’s Sales Rep and DPP/REIT Qualifications committees which are responsible for developing test questions for brokerage licenses. Prior to his current functions, Minh managed the Department’s Public Offerings Review program, which is responsible for regulating underwriting terms and arrangements in public offerings. He graduated from the University of Maryland, attended the Wharton Institute of Executive Education, and is a Certified Regulatory and Compliance Professional




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