SEC Invites Regulated Entities to Voluntarily Submit Self-Assessments of Diversity Policies and Practices

By | January 25, 2018

The SEC Office of Minority and Women Inclusion, or OMWI, invited entities regulated by the SEC to submit a Diversity Assessment Report.

Entities regulated by the SEC include broker-dealers, investment advisers, investment companies (mutual funds), transfer agents, municipal advisors, private fund advisers, clearing agencies, nationally recognized statistical rating organizations, national securities exchanges and other self-regulatory organizations such as FINRA.

Conducting self-assessments and providing diversity assessment information to OMWI are voluntary.


Contact Steve Quinlivan for more information.