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Strategic Goal Three

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Strategic Goal Three

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

Photo showing a gavel and notebook at the head of a long conference table. Photo by Corbis Images.

Net Cost: $61.1 Million

Staffing: 217 FTE

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)


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