Appendix 4 – FY 2013 Planned Objectives by Strategic Goal (continued)
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Breakout of Goal Two Request by Objective and Program Activity
Breakout of Goal Two Request by Objective
Breakout of Goal Two Request by Objective
($ in thousands)
Goal Two Objectives |
FY 2012 |
FY 2013 |
Change |
Budget |
FTE |
Budget
Request |
FTE |
Budget |
FTE |
2.1 Clearing organizations and firms participating in the derivatives industry are financially sound. |
$20,809 |
92 |
$36,689 |
156 |
$15,880 |
64 |
2.2 Registered intermediaries meet standards for fitness and conduct. |
9,224 |
41 |
19,097 |
82 |
9,873 |
41 |
2.3 Ensure self-regulatory organizations fulfill their financial surveillance responsibilities. |
6,119 |
27 |
7,309 |
31 |
1,190 |
4 |
2.4 Ensure that information technology systems support the Commission’s existing and expanded responsibilities to ensure financially sound markets, mitigate systemic risk, and monitor intermediaries. |
6,026 |
17 |
9,739 |
22 |
3,713 |
5 |
Total Goal Two |
$42,178 |
177 |
$72,834 |
291 |
$30,656 |
114 |
Breakout of Goal Two Request by Objective
Objective |
Percentage |
Objective 2.1 |
50% |
Objective 2.2 |
26% |
Objective 2.3 |
10% |
Objective 2.4 |
13% |
Breakout of Goal Two Request by Program Activity
Breakout of Goal Two Request by Program Activity
($ in thousands)
Program Activity |
FY 2012 |
FY 2013 |
Change |
Budget |
FTE |
Budget
Request |
FTE |
Budget |
FTE |
Agency Direction |
$1,631 |
7 |
$1,638 |
7 |
$7 |
0 |
Administrative Management & Support |
2,936 |
13 |
2,264 |
10 |
-672 |
-3 |
Chief Economist |
778 |
4 |
2,259 |
9 |
1,481 |
5 |
Clearing & Risk |
12,470 |
55 |
24,008 |
102 |
11,538 |
47 |
Data & Technology |
3,107 |
4 |
6,542 |
8 |
3,435 |
4 |
Enforcement |
0 |
0 |
0 |
0 |
0 |
0 |
General Counsel |
4,741 |
21 |
7,272 |
32 |
2,531 |
11 |
International Affairs |
0 |
0 |
0 |
0 |
0 |
0 |
Inspector General |
227 |
1 |
276 |
1 |
49 |
0 |
Market Oversight |
0 |
0 |
0 |
0 |
0 |
0 |
Swap Dealer & Intermediary Oversight |
16,288 |
72 |
28,575 |
122 |
12,287 |
50 |
Total |
$42,178 |
177 |
$72,834 |
291 |
$30,656 |
114 |
Breakout of Goal Two Request by Program Activity
Program Activity |
Percentage |
Agency Direction |
2% |
Administrative Management & Support |
3% |
Chief Economist |
3% |
Clearing & Risk |
33% |
Data & Technology |
9% |
General Counsel |
10% |
Swap Dealer & Intermediary Oversight |
39% |
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