Goal Three Outcome Objectives and Annual Performance Goals

Strategic Goal Three

Ensure Market Integrity in Order to Foster Open, Competitive, and Financially Sound Markets.

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, options and swaps markets are effectively regulated.

Annual Performance Goal: No loss of funds resulting from failure of self-regulatory organizations to ensure compliance with their rules; no loss of funds from failure of the Commission to enforce the CEA and Commission regulations.

Outcome 3.3 – Markets are free of 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.