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Fiscal Year 2019 Agency Financial Report

Nov. 15, 2019

Message from the Chairman

Chair Jay Clayton

This year we celebrated 85 years since the enactment of the Securities Exchange Act of 1934, which created the Commission. That document, crafted with purpose and foresight in the wake of the market crash of 1929, entrusted us with broad authority over all aspects of our securities markets and its participants. Much has changed since 1934, both at the Commission and in our markets. But the commitment of the Commission and its staff to our mission to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation, with that same purpose and foresight, remains steadfast. This report details several notable Commission accomplishments in Fiscal Year (FY) 2019.

It continues to be a privilege for me to chair this Commission, whose more than 4,000 women and men come to work every day with the interests of our long-term Main Street investors at the top of their minds. I say it often, but that’s because it is important to me to emphasize whenever I have the opportunity: the SEC’s most critical resource is our people. They are the most direct connection we have with investors, and they enable all of the work that is described in this report. It is one of my priorities as Chairman to continue to foster a community of care for investors, professionalism, diversity, inclusion, and opportunity within the agency.

Over the past fiscal year, we have reached significant milestones in pursuit of the goals of the Commission as outlined in our Strategic Plan for 2018–2022.

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