From Financial Services Green to DEI Gold: DEI in the Financial Services Industry

  • 15 Sep 2022
  • 2:00 PM - 4:00 PM (EDT)
  • Virtual


(depends on selected options)

Base fee:

Registration is closed

The legal profession has relied heavily on the business case for diversity to support and advance its DEI efforts: corporate clients expressing a desire to see greater diversity among their outside counsel law firms. Among the most influential of those clients have been those in the financial services industry. As a practice area, however, that industry has a reputation for its outside counsel being among the least diverse. But as the most recognized and influential financial services industry self-regulatory organizations (“SROs”) recently have begun demonstrating an interest in, concern about, and commitment to, greater diversity, have they created an inflection point for the financial services industry and the lawyers and law firms that would represent them? Will the DEI leadership efforts of SROs, as a distinct and important component to ESG, lead to changes in the diversity of the lawyers and law firms representing corporate business generally, and financial institutions specifically?

Join us for an unprecedented roundtable discussion with the leaders of FINRA, Nasdaq, and Cboe where we will learn more about their efforts to advance DEI; examine how those efforts may be influencing the corporations and financial institutions which they regulate; discuss the barriers and obstacles to their efforts; assess their strongest and most persuasive arguments, and the tools they are applying to motivate and influence more robust DEI efforts; and explore how this, in turn, can influence DEI efforts in the legal profession.

Opening Remarks

Gary Gensler, Chair, U.S. Securities and Exchange Commission


  Robert W. Cook, President and Chief Executive Officer, FINRA

  Edward Knight, Vice Chairman, Nasdaq

  Edward T. Tilly, President and Chief Executive Officer, Cboe

  Chris Lewis, General Counsel, Edward Jones (Moderator)

Planning Committee

Raymond T. Abbott • Autumn M. Hunter  Jeffrey Jamison  D'Juan B. Jones • 

Lorraine McGowen • Jeannette Molina • Nuris Portuondo • Leslie Richards-Yellen • 

Marisol Rubecindo • Corin R. Swift • Joanna Wade • Keita Young

Program Materials

Agenda and Speaker Bios

Companion Publication

Diversity Materials from Speakers' Organizations

CLE Attendance Form

CLE Evaluation Form

CLE Accreditation

CLE applications pending for California, Illinois, New York, and Texas.

Approval is anticipated, but not guaranteed.


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