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Summary of Goal Two Performance Indicators


Table Of Contents


Goal Two: Protect market users and the public.
Outcome 2.1: Violations of Federal commodities laws are detected and prevented.
Annual Performance Goal: Violators have a strong probability of being detected and sanctioned.
Performance Measures FY 2008
Actual
FY 2009
Actual
FY 2010
Plan
FY 2011
Plan
2.1.1 Number of enforcement investigations opened during the fiscal year 215 251 195 226
2.1.2 Number of enforcement cases filed during the fiscal year 40 50 51 55
2.1.3 Percentage of enforcement cases closed during the fiscal year in which the Commission obtained sanctions (e.g., civil monetary penalties, restitution and disgorgement, cease and desist orders, permanent injunctions, trading bans, and registration restrictions) 97% 98% 98% 98%
2.1.4 Cases filed by other criminal and civil law enforcement authorities during the fiscal year that included cooperative assistance from the Commission 31 44 25 30
Outcome 2.2: Commodity professionals meet high standards.
Annual Performance Goal: No unregistered, untested, or unlicensed commodity professionals.
Performance Measures FY 2008
Actual
FY 2009
Actual
FY 2010
Plan
FY 2011
Plan
2.2.1 Percentage of SROs that comply with CFTC Core Principles 100% 100% 100% 100%
2.2.2 Percentage of DCOs that comply with CFTC Core Principles 100% 100% 100% 100%
2.2.3 Percentage of professionals compliant with standards regarding testing, licensing, and ethics training 100% 100% 100% 100%
2.2.4 Percentage of SROs that comply with requirement to enforce their rules 100% 100% 100% 100%
2.2.5 Percentage of total requests receiving CFTC responses for guidance and advice 75% 90% 90% 90%
Outcome 2.3: Customer complaints against persons or firms registered under the Act are handled effectively and expeditiously.
Annual Performance Goal: Voluntary Proceedings customer complaints are resolved within one year from the date filed, Summary and Formal Proceedings are resolved within one year and six months from the date filed, and appeals are resolved within six months.
Performance Measures FY 2008
Actual
FY 2009
Actual
FY 2010
Plan
FY 2011
Plan
2.3.1(a) Percentage of filed complaints resolved within one year of the filing date for Voluntary Proceedings 67% 83% 90% 100%
2.3.1(b) Percentage of filed complaints resolved within one year and six months of the filing date for Summary Proceedings 57% 80% 90% 100%
2.3.1(c) Percentage of filed complaints resolved within one year and six months of the filing date for Formal Proceedings 73% 93% 95% 95%
Last Updated: March 19, 2010