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Goal Three CFTC Strategy Mapping
Table Of Contents
FY 2011 Goal Three Resource Investment by Outcome Objective
| Goal Three Outcomes | Investment Dollars |
FTEs | Investment Percentage |
|---|---|---|---|
| 3.1 Sound Financial Practices for Clearing Organizations and Firms | $15.6 | 54 | 7% |
| 3.2 Markets are Effectively Self-Regulated | $19.9 | 69 | 9% |
| 3.3 Markets are Free of Trade Practice Abuses | $6.2 | 21 | 3% |
| 3.4 Regulatory Environment is Responsive to Market Conditions | $10.9 | 37 | 5% |
Outcome Objectives and Annual Performance Goals
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.
Outcome 3.2 – Commodity futures and option markets are effectively self-regulated.
- Annual Performance Goal: No loss of funds resulting from failure of self-regulatory organizations to ensure compliance with their rules.
Outcome 3.3 – Markets are free of trade practice abuses.
- Annual Performance Goal: Minimize trade practice abuses.
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.
Last Updated: March 19, 2010