Financial Industry Regulatory Authority, Inc.

Annual Diversity Leadership Summit


FINRA’s Diversity Leadership Council recognized that there were few industry-specific opportunities for financial services and securities industry representatives to exchange ideas and best practices related to diversity and inclusion (D&I) issues.



In 2013, FINRA launched its Diversity Leadership Summit to provide a forum for business leaders, diversity practitioners and human resource professionals in the financial services industry to explore a variety of corporate practices, strategies and outreach efforts to leverage the benefits of building sustainable diversity and inclusion programs. The event, hosted annually by FINRA’s CEO, is a full day of diversity-focused professional development provided at no cost to attendees.


Since launching the program in 2013, we have held 5 events facilitating more than 25 diversity and inclusion-focused professional development segments on topics including building and engaging diverse talent pipelines; creating sustainable D&I programming; affinity intersectionality in D&I; and the importance of senior leadership and middle management support in building sustainable programs.

Event participants—over 500 to date—are both seasoned diversity practitioners and, more importantly, business leaders who operate outside of the human resources space. They have been able to glean actionable ideas directly from industry peers, corporate executives and board members, academic researchers, and diversity and inclusion experts. In our post-event survey, attendees shared that they left the event with:

  • the ability to articulate the business case for D&I specific to the unique needs of our industry;
  • a better understanding of the importance of collaboration among business leaders;
  • key, actionable strategies for recruiting a diverse workforce; and
  • an enhanced network of business professionals invested in the success of D&I efforts from firms of all sizes.


Audria Lee

FINRA is committed to fostering a diverse and inclusive workplace for all employees. Not only do we believe it is the right thing to do as a matter of fairness, but it is also the most effective way to achieve our mission of protecting investors. I am proud to sign the CEO Action for Diversity & InclusionTM pledge and excited to work together with other leaders on this important issue. I believe that our collective efforts are critical to advancing diversity and inclusion programs in the workplace, across all business communities.

Robert Cook, President and CEO, FINRA

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