Diversity and inclusion are important at the SEC. Our efforts to promote diversity, inclusion and opportunity include building and maintaining a diverse workforce, cultivating an inclusive work environment, and fostering diversity in our network of suppliers and in the regulated entities we oversee. These efforts are led by our Office of Minority and Women Inclusion.
Our Diversity and Inclusion Strategic Plan covers Fiscal Years 2020-2022 and serves as a framework for our continued efforts in promoting workforce diversity, inclusion and opportunity, as well as supplier diversity. It includes measurable actions that are designed to help fully integrate diversity, inclusion and opportunity in the strategic decision-making of the agency, enhance organizational effectiveness, and meet future challenges.
GOALS OF THIS DIVERSITY AND INCLUSION STRATEGIC PLAN
This Plan sets forth five overarching goals in support of diversity and inclusion:
GOAL 1: Demonstrate leadership commitment and accountability
Demonstrate leadership commitment and accountability through agency policy, messaging, and behavior that advances diversity and inclusion goals and objectives.
GOAL 2: Foster a connected culture
Cultivate a supportive, welcoming, inclusive, and fair work environment that allows employees to feel connected to the agency’s mission and contribute to their full potential.
GOAL 3: Build a diverse talent pipeline
Pursue a comprehensive strategy to build and maintain a high-performing workforce drawn from all segments of American society.
GOAL 4: Leverage diversity and inclusion for mission effectiveness
Use SEC resources and services in a manner that reflects diversity of investors and businesses.
GOAL 5: Promote business diversity with SEC stakeholders
Advance diversity and inclusion in the SEC supplier base and with entities regulated by the SEC.
VIDEO AND PHOTO GALLERY
On April 26, 2023, Lori Schock, Director, Office of Investor Education and Advocacy, and Robert A. Marchman, Senior Policy Advisor on Diversity and Inclusion, Office of Minority and Women Inclusion, moderated a panel hosted by the Los Angeles Regional Office and San Francisco Regional Office focused on diverse registered investment advisers.
In honor of Hispanic Heritage Month, Commissioner Jaime Lizárraga reflects on his role and the responsibility it carries in protecting the people who invest in the stock markets.
October is National Disability Employment Awareness Month and the SEC is spotlighting Joyce Gammelmo, Diversity Council representative for the agency’s Disability Interests Advisory Committee (DIAC) and a former DIAC Chair.
In honor of Pride Month, the SEC spotlights Jorge Tenreiro, an SEC Diversity Council member and former Co-Chair of the SEC’s Pride Alliance. Let’s learn more about Jorge’s story, his role as Enforcement Counsel to Chair Gary Gensler, and his insights on the celebration of Pride Month.
In honor of Hispanic Heritage Month, the SEC is spotlighting Juanita Hernandez, a member of the SEC’s Diversity Council and Co-Chair of the SEC’s Hispanic and Latino Opportunity, Leadership and Advocacy Committee (HALO). Let’s learn more about Juanita’s story, her role as Senior Counsel in the Office of General Counsel and her insights on the celebration of Hispanic Heritage Month.
In honor of Black History Month, the SEC’s Office of Minority and Women Inclusion (OMWI) reached out to Director Renee Jones, the SEC’s Division of Corporation Finance’s first black director. They talked about her story of how she got to where she is, her plans for her time at the agency, and her insights on the celebration of Black History Month.
Chair Gensler spoke with Lloyd M. Johnson Jr., publisher of The Black In House Counsel Annual Report, to discuss Diversity, Equity and Inclusion (DEI) and its importance to the SEC’s workforce and agenda.
2020 African American History Month - Diverse Workforce
Reaching New Heights - Conversations on Raising Capital for Businesses of Color
Protecting Deaf, Hard-of-Hearing and Hearing Loss Communities from Investment Scams
I AM the SEC
Dr. Henry Louis Gates Jr. answered questions during a fireside chat with Chairman Jay Clayton and Glenn Hutchins, Chair of the Hutchins Center for African & African American Research at Harvard University, during an African American History Month event at the SEC.
The SEC’s Hispanic and Latino Opportunity, Leadership, and Advocacy Committee hosted an Hispanic Heritage Month event with former SEC Commissioners Troy Paredes and Roel Campos discussing their Hispanic heritage and experiences in public service.
SEC.gov | Cicely LaMothe Named Deputy Director, Disclosure Operations, for the Division of Corporation Finance
February 14, 2023
SEC.gov | Silvestre Fontes Named Director of Boston Regional Office
January 25, 2023
SEC.gov | Raising the Bar on Diversity, Equity and Inclusion
October 13, 2022
SEC 2023 Compliance Outreach Program Regional Seminar for Investment Adviser and Investment Company Senior Officers The outreach program seminars are jointly sponsored by the SEC's Division of Examinations, Division of Investment Management, and Division of Enforcement's Asset Management Unit. The events provide an opportunity for SEC staff to share information about risks, priorities, and deficiencies observed in examinations or investigations and to discuss how senior executives and compliance professionals have addressed such matters. Most regional seminars will include an overview of the Division of Examinations 2023 Priorities and other topics of interest selected by the individual Regional Office sponsoring the event.
On April 26, 2023, Lori Schock, Director, Office of Investor Education and Advocacy, and Robert A. Marchman, Senior Policy Advisor on Diversity and Inclusion, Office of Minority and Women Inclusion, moderated a panel hosted by the Los Angeles Regional Office and San Francisco Regional Office focused on diverse registered investment advisers. The panel included perspectives from a dynamic panel of women and minority founders and executives of financial advisory firms who shared their experiences, insights, and successes in launching investment and financial firms, and discussed their challenges and opportunities and how the financial services community and the SEC can work together to increase investing and wealth in underrepresented communities.
April 26, 2023
Pamela Gibbs, OMWI Director, was featured in a fire side chat entitled “DEI on the Rise — Recipes for Successful Initiatives” at the Investor Advisor Compliance Conference in Washington, DC. 2023 Compliance Conference Agenda - Investment Adviser Association
March 13, 2023
Pamela Gibbs, Director, Office of Minority and Women Inclusion (OMWI) spoke at a fireside chat hosted by National Association of Black Compliance & Risk Management Professionals, Inc. during its Women Leaders in GRC Conference. The program was held at Fordham University Law School in New York City.
March 7, 2023
Pamela Gibbs, Director, Office of Minority and Women Inclusion (OMWI) participated in a program hosted by the SEC Historical Society and Howard University School of Law focusing on the work of OMWI. The program featured a panel discussion by the OMWI Director and three former U.S. Securities and Exchange Commission Chairs who served during the first decade of OMWI's operations (Chairman Mary L. Schapiro, Chair Mary Jo White and Chairman Jay Clayton). The program was held at Howard University Law School in Washington, DC.
March 1, 2023
SEC Celebrates African American History Month 2021
RELATED RESOURCES AND REPORTS
Modified: May 17, 2023