Filing Requirements and Due Diligence Obligations for Public Offerings and Private Placements

SKU: SEC083 Back to Course Listings

About This Course

Join FINRA staff and industry experts for an in-depth discussion on the regulatory landscape of registered and unregistered offerings. This CLE course covers essential filing requirements, due diligence practices, and conflict-of-interest management strategies for legal professionals.

Key Topics:

Filing requirements for both registered and unregistered offerings
Due diligence on issuers and investors for unregistered offerings
Key considerations for registered offerings, including Rule 5110 (Corp Fin)
Identifying, avoiding, and managing conflicts of interest

This course will equip you with practical insights to navigate securities offerings and ensure compliance with regulatory standards.

Lecturers for this Course

Minh Q. Le Sharon Alexander KC Waldron Stephen Berkeley

Lecturer Bios

Minh Q. Le

Minh Q. Le is Director of FINRA’s Corporate Financing Department. He has more than 20 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, Mr. Le’s duties include developing policy and providing guidance on corporate financing and other capital-raising related issues. Mr. Le also routinely provides subject matter expertise to FINRA’s Examination and Enforcement staffs.

Building on this experience, Mr. Le serves as a member on 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 19 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 the filing program, Mr. Le was a manager in the department’s Public Offerings Review program, which is responsible for regulating underwriting terms and arrangements in public offerings. Mr. Le graduated from the University of Maryland, attended the Wharton Institute of Executive Education, and is a Certified Regulatory and Compliance Professional (CRCP)®.

Sharon Alexander

Sharon Alexander is Senior Principal Analyst in the Risk Monitoring Department of Member Supervision and is responsible surveilling and assessing member firm risk. She joined FINRA in 2011 as a Senior Examiner in Member Supervision, after an eight-year career in public and corporate accounting.

Ms. Alexander received her bachelor’s degree in Accounting and Management Information Systems from Florida International University. She is also a Certified Fraud Examiner and a Certified Anti-Money Laundering Specialist.

KC Waldron

KC Waldron is the Chief Compliance Officer at Empower. Her team manages all compliance matters for the firm’s businesses which include wealth management, retirement plan administration, asset management, stock plan services, and insurance.

Prior to joining Empower, she was with the Charles Schwab Corporation for twelve years in both legal and compliance roles including head of wealth management compliance; head of compliance for all client-facing businesses; global head of regulatory strategy; and legal counsel to the custody and trading business for third party investment advisors. Before joining Schwab, she was an Enforcement Attorney for the U.S. Securities and Exchange Commission in the San Francisco Regional Office.

Prior to that, she was a securities litigation attorney with Morrison & Foerster LLP. She graduated from the University of Texas School of Law, and from Texas A&M University (Accounting).

Stephen Berkeley

Prior to joining Loop Capital in 2008, Mr. Berkeley spent 9 years in private legal practice representing broker-dealers and investment advisors in arbitrations, regulatory investigations and on general compliance matters. Mr. Berkeley started his career as an enforcement attorney with the Securities Division of the Arizona Corporation Commission where he investigated and prosecuted securities enforcement actions against broker-dealers and investment advisors.

He is a licensed attorney in Illinois and Arizona and holds 7, 24, 53, 63, 79 and 87 licenses and currently serves on the FINRA Midwest Regional Committee. Mr. Berkeley earned his Juris Doctorate from Chicago-Kent College of Law and earned a Bachelors of Arts from Hamilton College.

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Filing Requirements and Due Diligence Obligations for Public Offerings and Private Placements

About This Course

Key Topics:

Lecturers for this Course

Spend less and get more

Dedicated CLE Manager

Riveting Content & an Exceptional Library

Free Customized CLE Tracker

Online, Audio CD, DVD, iOS/Android App, USB Stick

Want Different Options?

Subscribe for Course Updates and News

Subscribe for Course Updates and News

Please provide us with your licensed state(s) so we can send you content relevant to you.

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