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:

• Lost funds:
  1. Number of customers who lost funds
  2. Amount of funds lost
• Number of rulemakings to ensure market integrity and financially sound markets
• Percentage of SROs that comply with requirement to enforce rules

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:

• Percentage of intermediaries who meet risk-based capital requirements
• Percentage of clearing organizations that comply with requirement to enforce their rules

Outcome 3.3: Markets are free of trade practice abuses.

Annual Performance Goal: Minimize trade practice abuses.

Performance Measures:

• Percentage of exchanges deemed to have adequate systems for detecting trade practice abuses
• Percentage of exchanges that comply with requirement to enforce their rules

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:

• Percentage of CFMA Section 126(b) objectives implemented
• Number of rulemakings, studies, interpretations, and guidance to ensure market integrity and exchanges’ compliance with regulatory requirements
• Percentage of requests for no-action or other relief completed within six months related to novel market or trading practices and issues to facilitate innovation
• Percentage of total requests receiving CFTC responses for guidance and advice

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