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ExpectMore.govExpectMore.gov home pageEXPECT FEDERAL PROGRAMS TO PERFORM WELL, AND BETTER EVERY YEAR.
 
Program Assessment

Program

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Examining Compliance with Securities Laws

The program conducts inspections to foster compliance with the securities laws, to detect violations of the law, and to keep the Commission informed of developments in the regulated community.

Rating

What This Rating Means

PERFORMING
Moderately Effective

In general, a program rated Moderately Effective has set ambitious goals and is well-managed. Moderately Effective programs likely need to improve their efficiency or address other problems in the programs' design or management in order to achieve better results.
  • The program has recently developed a new long-term measure of firms taking corrective action in response to the issuance of deficiency letters.
  • The program has established targets for two annual measures, including an efficiency measure, and is in the process of establishing a baseline for another annual measure.

Improvement Plan

About Improvement Plans

We are taking the following actions to improve the performance of the program:

  • Establishing a baseline for its long-term performance measure in 2007.
  • Continuing to collect performance data on its annual measures to ensure the program is achieving its goals.

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