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Measuring Success: Strategic Goal Three—Ensure market integrity in order to foster open, competitive, and financially sound markets.

Table Of Contents

Outcome 3.1: Clearing organization and firms holding customer funds have sound financial practices.

Annual Performance Goal: No loss of customer funds as a result of firms’ failure to adhere to regulations; no customers prevented from transferring funds from failing firms to sound firms.

Performance Measures:

Outcome 3.2: Commodity futures and option markets are effectively self-regulated.

Annual Performance Goal: No loss of funds resulting from failure of SROs to ensure compliance with their rules.

Performance Measures:

Outcome 3.3: Markets are free of trade practice abuses.

Annual Performance Goal: Minimize trade practice abuses.

Performance Measures:

Outcome 3.4: Regulatory environment is flexible and responsive to evolving market conditions.

Annual Performance Goal: Rulemakings issued and requests responded to reflect the evolution of the markets and protect the interests of the public.

Performance Measures: