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Goal Three

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Goal Three—Protect the public and market participants through a robust enforcement program.

Goal Three Performance Summary
Exceeded Met Not Met
100% 0% 0%

This third strategic goal is to ensure that firms and individuals who come to the marketplace to fulfill their business and trading needs are in compliance with applicable laws and regulations. In addition, market users and others must be protected from possible wrongdoing that may affect or tend to affect the integrity of the markets. The derivatives markets provide a great benefit to the U.S. economy; preserving the integrity of the markets ensures their continued vibrancy and promotes public confidence. Continuing IT investment in the eLaw program will support all Goal Three objectives by improving staff productivity, providing staff with a level IT playing field with those it investigates and effective tools to collaborate internally with oversight and clearing staff as well as with other regulators, and facilitating the use of information to identify high impact enforcement actions. Accomplishments include:

Goal Three performance measure results are depicted in the following table:

Goal Three Performance Results
  # of Measures1 Exceeded Met Not Met
Goal Three 2 2 0 0
% of Total   100% 0% 0%
  Left arrow. 100% Right arrow.  
1 Excludes 1 performance measure categorized as "Not Applicable" for FY 2011. (back to text)

See Goal Three Performance Measures, Analysis and Review for detailed performance analysis and review narrative for each associated measure.


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