Sep. 15, 2020
The U.S. Securities and Exchange Commission (the SEC or Commission) is a bi-partisan Commission consisting of five Commissioners appointed by the President and confirmed by the Senate. The President designates one Commissioner to serve as Chairman of the Commission. Michael S. Piwowar currently serves as the Acting Chairman. The mission of the SEC is to protect investors, maintain fair, orderly and efficient markets, and facilitate capital formation. Accordingly, the agencys goals are to establish and maintain an effective regulatory environment, promote compliance with the Federal securities laws, facilitate access to information needed to make informed investment decisions, and enhance the agencys performance through effective management of human resources, information, and financial capital ---------------------------------------------------------------------- September 15, 2020 The U.S. Securities and Exchange Commission (the SEC or Commission) is a bi-partisan Commission consisting of five Commissioners appointed by the President and confirmed by the Senate. The President designates one Commissioner to serve as Chairman of the Commission. Jay Clayton is the current Chairman of the Commission. The mission of the SEC is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. Accordingly, the agencys goals are to establish and maintain an effective regulatory environment, promote compliance with the Federal securities laws, facilitate access to information needed to make informed investment decisions, and enhance the agencys performance through effective management of human resources, information, and financial capital. The SEC oversees more than 26,000 market participants, including investment advisers, mutual funds and exchange traded funds, broker-dealers, transfer agents, national securities exchanges, and others. The agencys functional responsibilities are carried out through five main divisions and 25 offices, each of which is headquartered in Washington, DC. The SEC also has 11 regional offices located throughout the country. The Office of Minority and Women Inclusion In accordance with Section 342 of the Dodd-Frank Act, the SEC established its Office of Minority and Women Inclusion in July 2011, and assigned the office responsibility for all matters related to diversity in the agencys management, employment, and business activities. The Director of OMWI is a Senior Officer reporting directly to the Chairman. OMWIs staff also includes a deputy director, attorney advisers, a data analyst, and management and program analysts dedicated to the offices major functional areas-workforce diversity and inclusion and supplier diversity. OMWI is responsible for providing leadership and guidance for all of the SECs diversity and inclusion efforts. Section 342 of the Dodd-Frank Act requires the OMWI Director to develop standards for ensuring equal employment opportunity and the racial, ethnic, and gender diversity of the workforce and senior management of the agency increasing participation of minorityowned and women-owned businesses in the SECs programs and contracts and assessing the diversity policies and practices of entities regulated by the SEC.2 The OMWI Director is also (Attached File #1: hnasoritehrani9963.pdf (Attached File #2: hnasoritehrani3324.pdf (Attached File #3: hnasoritehrani4663.pdf