Appendix 4 – FY 2013 Planned Objectives by Strategic Goal (continued)

Breakout of Goal Two Request by Objective
*($ in thousands)*
Goal Two Objectives	FY 2012		FY 2013		Change
Goal Two Objectives	Budget	FTE	Budget Request	FTE	Budget	FTE
2.1 Clearing organizations and firms participating in the derivatives industry are financially sound.	$20,809	92	$36,689	156	$15,880	64
2.2 Registered intermediaries meet standards for fitness and conduct.	9,224	41	19,097	82	9,873	41
2.3 Ensure self-regulatory organizations fulfill their financial surveillance responsibilities.	6,119	27	7,309	31	1,190	4
2.4 Ensure that information technology systems support the Commission’s existing and expanded responsibilities to ensure financially sound markets, mitigate systemic risk, and monitor intermediaries.	6,026	17	9,739	22	3,713	5
Total Goal Two	$42,178	177	$72,834	291	$30,656	114

Breakout of Goal Two Request by Program Activity
*($ in thousands)*
Program Activity	FY 2012		FY 2013		Change
Program Activity	Budget	FTE	Budget Request	FTE	Budget	FTE
Agency Direction	$1,631	7	$1,638	7	$7	0
Administrative Management & Support	2,936	13	2,264	10	-672	-3
Chief Economist	778	4	2,259	9	1,481	5
Clearing & Risk	12,470	55	24,008	102	11,538	47
Data & Technology	3,107	4	6,542	8	3,435	4
Enforcement	0	0	0	0	0	0
General Counsel	4,741	21	7,272	32	2,531	11
International Affairs	0	0	0	0	0	0
Inspector General	227	1	276	1	49	0
Market Oversight	0	0	0	0	0	0
Swap Dealer & Intermediary Oversight	16,288	72	28,575	122	12,287	50
Total	$42,178	177	$72,834	291	$30,656	114

Breakout of Goal Two Request by Program Activity
Program Activity	Percentage
Agency Direction	2%
Administrative Management & Support	3%
Chief Economist	3%
Clearing & Risk	33%
Data & Technology	9%
General Counsel	10%
Swap Dealer & Intermediary Oversight	39%