Minh Le
About Minh Le
Minh Le serves as the Director of the CRCP at the Financial Industry Regulatory Authority (FINRA) in Rockville, MD, where he has worked since 1994. He specializes in underwriting, private placements, and non-traded REITs, and actively participates in policy-making and industry committees.
Work at FINRA
Minh Le has been employed at the Financial Industry Regulatory Authority (FINRA) since 1994, serving as the Director of the Corporate Finance Registered Representative Program (CRCP). With 30 years of experience at FINRA, Le is based in Rockville, MD. In this role, Le engages in policy and rule-making activities, including handling rule interpretations and exemptions. Le also participates as a member of various FINRA committees that focus on Direct Participation Programs (DPP) and Private Real Estate Investment Trusts (REIT) Examination and Risk Assessment.
Education and Expertise
Minh Le earned a Bachelor's degree in Public Policy and Urban Studies from the University of Maryland, where he studied from 1988 to 1993. This educational background has equipped Le with a solid foundation in policy analysis and urban development, which complements his professional expertise in underwriting, private placements, non-traded REITs, and direct participation programs. Le is recognized as a subject matter expert in these areas, contributing to his role at FINRA.
Public Speaking Engagements
Minh Le actively engages in public speaking for various industry groups and trade associations. Through these speaking engagements, Le shares insights and knowledge related to his expertise in corporate finance and regulatory matters. This involvement helps to foster communication and understanding within the industry, addressing key topics relevant to stakeholders.
Committee Involvement
At FINRA, Minh Le participates in committees that focus on the examination of Direct Participation Programs (DPP) and Private Real Estate Investment Trusts (REIT). His committee work involves assessing risks and developing guidelines that impact the regulatory landscape. This involvement underscores Le's commitment to enhancing industry standards and practices.