Private Placements: The Latest Regulatory Developments and Compliance Considerations

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Washington MCLE
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About This Course

This CLE program will explore the latest private placement regulatory advancements, with a particular focus on regulatory notice 23-XX. Gain valuable insights into compliance responsibilities and best practices concerning Reg BI, sales materials, due diligence, conflicts of interest, and other pertinent topics.

This session will cover the following areas:

In-depth analysis of recent regulatory developments, compliance obligations, and effective practices pertaining to private placements. Engage in discussions surrounding Reg BI, communications, due diligence, and conflicts of interest.
Examination of significant regulatory notices, including 10-22, 20-21, and 21-26, providing attendees with comprehensive information and actionable takeaways
Preview and discussion of the forthcoming 2023 Notice, scheduled for publication prior to the conference, offering attendees an opportunity to stay ahead of the curve and gain valuable insights into the evolving regulatory landscape.

Lecturer Bios

Paul Mathews

Paul Mathews is Vice President and Director of FINRA’s Corporate Financing Department. The Department administers FINRA rules that regulate public and private securities offerings. The Department’s regulatory functions include reviewing offerings for compliance with FINRA and SEC rules, conducting investigations, and providing interpretive assistance and policy support. Mr. Mathews has been active in numerous FINRA regulatory initiatives addressing broker-dealer obligations in public and private offerings, including the development of new rules, modernization of existing requirements and the publication of guidance on various issues. Mr. Mathews is a staff liaison to FINRA’s Corporate Financing Committee and serves on various FINRA task forces and internal committees.

He was previously Associate Director and Enforcement Liaison for the Department, in which capacity he managed investigations staff and targeted a variety of problems through sweeps and examinations. During his career with FINRA he has worked on international regulatory initiatives, examination procedures and systems, new product regulation, arbitrations, statutory disqualifications and licensing/registration. He holds a BA in Economics from the University of Virginia (1983), an MBA from Virginia Tech (1991), and a regulatory professional designation from Wharton (2003).

Scott H. Maestri

Scott H. Maestri is Associate District Director in FINRA’s Dallas Office. He began his career with NASD in 1999 as an examiner in the New Orleans District Office. Mr. Maestri was promoted to management in September of 2003 and became responsible for a team of examiners who monitored member firms through cycle and cause investigations, as well as, the Membership Application Process and Financial Surveillance. Mr. Maestri was promoted to the Associate District Director position in May of 2010 where his primary responsibility is the review and approval of the District Office’s major program areas.

Prior to NASD, Mr. Maestri worked in a variety of sales, operational, and compliance roles with both Morgan Stanley and Legg Mason in the Jackson, Mississippi branch office locations. During the course of his career, Mr. Maestri has been selected for Advanced Management training, and successfully obtained the Certified Regulatory and Compliance Professional™ (CRCP™) designation both issued through The Wharton School at the University of Pennsylvania. Mr. Maestri received his B.B.A. in Finance from The Else School of Management at Millsaps College.

Clint Johnson Esq.

Clint Johnson is a Senior Director in FINRA’s Atlanta Office and is responsible for leading and managing risk monitoring programs for retail-oriented FINRA member broker/dealers, including firms that primarily offer private placements to retail investors. Prior to his current role, Mr. Johnson spent more than 20 years supporting and managing surveillance, cause and firm exam programs at FINRA.

Mr. Johnson has earned a Bachelor of Business Administration degree from the University of Georgia and a Master of Professional Accountancy from Georgia State University. He has also completed the Certified Regulatory and Compliance Professional™ program through The FINRA Institute.

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)®.

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Private Placements: The Latest Regulatory Developments and Compliance Considerations

Washington MCLEAccreditation Info

About This Course

This session will cover the following areas:

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