Program Assessment
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ProgramView Assessment Details |
Examining Compliance with Securities LawsThe 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. |
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RatingWhat This Rating Means |
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.
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Improvement PlanAbout Improvement Plans |
We are taking the following actions to improve the performance of the program:
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