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Goal One

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Goal One—Protect the public and market participants by ensuring market integrity, promoting transparency, competition and fairness and lowering risk in the system.

Goal One Performance Summary
Met Not Met
33% 67%

Derivatives markets are designed to provide a means for market users to offset price risks inherent in their businesses and to act as a public price discovery platform from which prices are broadly disseminated for public use. For derivatives markets to fulfill their role in the national and global economy, they must operate efficiently and fairly, and serve the needs of market users. The markets best fulfill this role when they are open, competitive, and free from fraud, manipulation, and other abuses such that the prices discovered on the markets reflect the forces of supply and demand.

The Commission strives to assure that Goal One is effectively met through the combined use of four oversight strategies: 1) review of new contracts and rules, and amendments to existing contracts and rules; 2) surveillance of trading activity in the futures and swaps markets; 3) review of regulated exchanges designated contract markets (DCMs), SEFs and swap data repositories (SDRs) to ensure that they are fulfilling their self-regulatory obligations; and 4) adoption of policies and strategies to promote market transparency.

Accomplishments related to progress in achieving this goal include:

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

Goal One Performance Results
  # of Measures1 Met Not Met
Goal One 12 4 8
% of Total   33% 67%
1 Excludes one performance measure categorized as "Not Applicable" for FY 2012. (back to text)


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