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Fiscal Year 2015 Agency Financial Report

Nov. 16, 2015

Message from the Chair

Chair White

Throughout the past year, the more than 4,000 talented public servants of the U.S. Securities and Exchange Commission have diligently carried out the agency’s mission to protect investors, foster capital formation and promote fair, orderly and efficient markets.

The Commission’s accomplishments in Fiscal Year (FY) 2015 were many and significant. The Commission vigorously pursued wrongdoing in the markets through a broadbased enforcement program, proposed and adopted major reforms to protect investors and markets from products and practices that contributed directly to the financial crisis, enhanced our risk-based, data-driven examination program, and deployed new technology and data analytics to increase the efficiency and effectiveness of our programs.

Through these efforts and much more, the SEC works to ensure that our capital markets are the strongest in the world.

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Mission and Vision

Mission: The mission of the SEC is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.

Vision: The SEC strives to promote a market environment that is worthy of the public’s trust and characterized by:

  • Transparent disclosure to investors of the risks of particular investments;
  • Oversight of key market participants, including exchanges, brokers and dealers, investment advisers, and others;
  • Focus on strengthening market structure and systems;
  • Promotion of disclosure of market-related information;
  • Protection against fraud and abuse; and
  • Evaluation, development and maintenance of appropriate rules and regulations.

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