Annual Performance Report
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FY 2015 Annual Performance Report FY 2017 Annual Performance Plan A Reader’s Guide to the SEC’s Performance Information 22 FY 2015 APR and FY 2017 APP Summary 22 Performance Summary by Strategic Goal and Strategic Objective 23 Strategic Goal 1: Establish and Maintain an Effective Regulatory Environment 23 Strategic Goal 2: Foster and Enforce Compliance with the Federal Securities Laws 31 Strategic Goal 3: Facilitate Access to the Information Investors Need to Make Informed Investment Decisions 42 Strategic Goal 4: Enhance the Commission’s Performance through Effective Alignment and Management of Human, Information, and Financial Capital 48 FY 2017 CBJ, FY 2017 APP, AND FY 2015 APR • FY 2015 ANNUAL PERFORMANCE REPORT AND FY 2017 ANNUAL PERFORMANCE PLAN A Reader’s Guide to the SEC’s Performance Information The following chapters comprise the agency’s FY 2015 Annual Performance Report (APR) and FY 2017 Annual Performance Plan (APP), which explains how the SEC uses resources to achieve each of its four strategic goals.. These initiatives and functions include: • Registration and regulation of security-based swap data repositories (SDRs), security-based swap dealers (SBSDs), major security-based swap participant (MSBSPs), and swap execution facilities • Regulatory reporting and public dissemination of security-based swap data • Mandatory clearing of security-based swaps • Application of security-based swap rules to cross-border activities and persons engaged in those activities PAGE 23 FY 2017 CBJ, FY 2017 APP, AND FY 2015 APR • FY 2015 ANNUAL PERFORMANCE REPORT AND FY 2017 ANNUAL PERFORMANCE PLAN • Expanded regulation and supervision of clearing agencies and • Ongoing implementation of final rules restricting certain proprietary trading activities of broker-dealers under the Volcker Rule, including interagency coordination of interpretations, examinations, and enforcement of the rules.. FY 2012 FY 2013 FY 2014 FY 2015 Actual Prior-year data not available 815 251 424
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