FY 2011 Goal Three Resource Investment by Outcome Objective
Goal Three Resource Strategy Mapping ($ in millions)
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.