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SEC FY 2015 Congressional Justification and Performance Plan & FY 2013 Annual Performance Report

SEC FY 2015 Congressional Justification and Performance Plan & FY 2013 Annual Performance Report

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Securities and Exchange Commission FY 2015 Congressional Justification and Performance Plan & FY 2013 Annual Performance Report
Securities and Exchange Commission FY 2015 Congressional Justification and Performance Plan & FY 2013 Annual Performance Report

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Published by: Vanessa Schoenthaler on Mar 11, 2014
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08/10/2014

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U.S. SECURITIES AND EXCHANGE COMMISSION
FY 2015 CONGRESSIONAL BUDGET JUSTIFICATION FY 2015 ANNUAL PERFORMANCE PLAN FY 2013 ANNUAL PERFORMANCE REPORT
 
 
About This Report
The Congressional Budget Justification (CBJ) is the annual presentation to the Congress that justifies the U.S. Securities and Exchange Commission’s (SEC) budget request and reflects the continuing process to provide improved strategic focus, data quality, and information to Congress and the public. This report also includes the Annual Performance Plan (APP) for fiscal year (FY) 2015 and the  Annual Performance Report (APR) for FY 2013, focusing on the agency’s strategic goals and performance results. This report provides information that satisfies requirements contained in the following laws and regulations: GPRA Modernization Act of 2010 Office of Management and Budget Circular A-11,
Preparation, Submission  and Execution of the Budget
Government Management Reform Act of 1994 Reports Consolidation Act of 2000 Office of Management and Budget Circular A-136,
Financial Reporting Requirements
 An electronic version of this document and its components is available at
. To comment on the SEC’s FY 2015 CBJ and APP and FY 2013 APR, email PerformancePlanning@sec.gov.
 
 
Contents
 Agency & Mission Information 3
ExecutiveSummary4  Vision,Mission,andValues8 HistoryandPurpose9 OrganizationalStructureandResources10
FY 2015 Budget Request Tables 13
FTEandPositionsbyProgram14 ObligationsbyObjectClass15 FY2015RequestbyStrategicGoalandProgram16 SummaryofChanges17 OffsettingCollectionsandSpendingAuthority18
FY 2015 Appropriations Language 19 FY 2015 Annual Performance Plan 21
FY2015APPSummary22  AReader’sGuidetotheSEC’sPerformanceInformation22  VerificationandValidationofPerformanceData23 PerformanceSummarybyStrategicGoal24
StrategicGoal1:EstablishandMaintainanEffectiveRegulatoryEnvironment24 StrategicGoal2:FosterandEnforceCompliancewiththeFederalSecuritiesLaws29 StrategicGoal3:FacilitateAccesstotheInformationInvestorsNeedtoMakeInformedInvestmentDecisions37 StrategicGoal4:EnhancetheCommission’sPerformancethroughEffectiveAlignmentand ManagementofHuman,Information,andFinancialCapital41
FY 2015 Budget Request by Program 47 Other Information 129
ProgramEvaluations&Research130 CrossAgencyCollaboration131 EfcienciesandEffectiveness132 ManagementReviews133 ManagementandPerformanceChallenges134 HyperlinkstoOtherReports138
FY 2013 Annual Performance Report 139
PerformanceSummarybyStrategicGoal140
StrategicGoal1:FosterandEnforceCompliancewiththeFederalSecuritiesLaws140 StrategicGoal2:EstablishanEffectiveRegulatoryEnvironment153 StrategicGoal3:FacilitateAccesstotheInformationInvestorsNeedtoMakeInformedInvestmentDecisions162 StrategicGoal4:EnhancetheCommission’sPerformancethroughEffectiveAlignment andManagementofHuman,Information,andFinancialCapital169
 Appendices 179
 AppendixADiscontinuedPerformanceGoalsandIndicators180  AppendixBSECDivisionsandOffices181  AppendixC–GlossaryofTerms183  AppendixDAcronyms187 
Available on the Web at
 TocontacttheSEC,pleasesee
or“ContactUs”at

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