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U.S. Securities and Exchange Commission Strategic Plan - Fiscal Year 2014-2018

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U.S. Securities and Exchange Commission Strategic Plan - Fiscal Year 2014-2018
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  U.S. Securities and Exchange Commission STRATEGIC PLANFISCAL YEARS 2014–2018 Protecting investors, maintaining air, orderly, and efficient markets, and acilitating capital ormation  This document presents the U.S. Securities and Exchange Commission’s Strategic Plan prepared in accordance with the Government Performance and Results Act Modernization Act of 2010. The plan sets out the Commission’s mission, vision, values, and strategic goals for fiscal years 2014 through 2018. Furthermore, it discusses the SEC’s environment, details the strategic objectives the Commission seeks to achieve, presents the strategies and initiatives that will be undertaken to accomplish those objectives, and lists the performance goals that will be used to gauge the agency’s progress.  STRATEGIC PLAN , FISCAL YEARS 2014–2018  | 1 CONTENTS Mission, Vision, and Values  ........................................................... 3 Strategic Goals and Strategic Objectives  .............................................. 5 Environmental Perspective and Outlook   ............................................. 7 Resources  ............................................................................... 9Strategic Goal 1 Establish and maintain an effective regulatory environment  ..................... 11Strategic Goal 2 Foster and enorce compliance with the ederal securities laws  ................. 25Strategic Goal 3 Facilitate access to the inormation investors need to make inormed investment decisions  .............................................................. 37Strategic Goal 4 Enhance the Commission’s perormance through effective alignment and management o human, inormation, and financial capital  ................. 45 Program Evaluation  .................................................................. 56  The U.S. Securities and Exchange Commission is an independent federal agency established pursuant to the Securities Exchange Act of 1934 (Exchange Act). It is headed by a bipartisan five-member Commission, comprised of the Chair and four Commissioners, who are appointed by the President and confirmed by the Senate. The Chair is responsible for the executive and administrative functions of the Commission. The SEC employs over 4,100 people.  
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