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Summary of Goal Three Performance Indicators
| Outcome 3.1: Clearing organizations 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 | FY 2009 Actual |
FY 2010 Actual |
FY 2011 Plan |
FY 2012 Plan |
| 3.1.1 Lost funds: | ||||
| a) Number of customers who lost funds | 0 | 0 | 0 | 0 |
| b) Amount of funds lost | $0 | $0 | $0 | $0 |
| 3.1.2 Number of rulemakings to ensure market integrity and financially sound markets | 4 | 4 | 2 | 3 |
| 3.1.3 Percentage of clearing organizations that comply with requirement to enforce their rules | 100% | 100% | 100% | 100% |
| Outcome 3.2: Commodity futures, options and swaps markets are effectively regulated. | ||||
| Annual Performance Goal: No loss of funds resulting from failure of self-regulated organizations to ensure compliance with their rules. | ||||
| Performance Measures | FY 2009 Actual |
FY 2010 Actual |
FY 2011 Plan |
FY 2012 Plan |
| 3.2.1 Percentage of intermediaries who meet risk-based capital requirements | 100% | 100% | 100% | 100% |
| 3.2.2 Percentage of swap dealers and major swap participants who meet capital requirements | N/A | N/A | 100% | 100% |
| 3.2.3 Percentage of SROs that comply with requirement to enforce their rules | 100% | 100% | 100% | 100% |
| Outcome 3.3: Markets are free of trade practice abuses. | ||||
| Annual Performance Goal: Minimize trade practice abuses. | ||||
| Performance Measures | FY 2009 Actual |
FY 2010 Actual |
FY 2011 Plan |
FY 2012 Plan |
| 3.3.1 Percentage of exchanges deemed to have adequate systems for detecting trade practice abuses | 100% | 100% | 100% | 100% |
| 3.3.2 Percentage of exchanges that comply with requirement to enforce their rules | 100% | 100% | 100% | 100% |
| Outcome 3.4: Regulatory environment is 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 | FY 2009 Actual |
FY 2010 Actual |
FY 2011 Plan |
FY 2012 Plan |
| 3.4.1 Percentage of CFMA Section 126(b) objectives addressed | 100% | 100% | 100% | 100% |
| 3.4.2 Number of rulemakings, studies, interpretations and guidances to ensure market integrity and exchanges’ compliance with regulatory requirements | 63 | 51 | 318 | 36 |
| 3.4.3 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 | 100% | 100% | 100% | 100% |
| 3.4.4 Percentage of total requests receiving CFTC responses for guidance and advice | 93% | 90% | 90% | 90% |