SEC Draft Strategic Plan

CompassOn February 3, 2014, the SEC released the Draft 2014–2018 Strategic Plan for Securities and Exchange Commission. The Strategic Plan includes drafts of the SEC’s mission, vision, values, strategic goals, planning initiatives, and performance goals for the fiscal years 2014 to 2018.

The plan covers several areas of specific concern for FSI members, including the analysis of different regulatory structures for broker-dealers and investment advisors, money market funds, enhanced surveillance, and information sharing between FINRA and NASAA. The main strategic goals outlined in the plan follow:

  • Establish and maintain an effective regulatory environment
  • Foster and enforce compliance with the federal securities laws
  • Facilitate access to the information investors need to make informed investment decisions
  • Enhance the Commission’s performance through effective alignment and management of human, information, and financial capital

FSI commented on several areas of the strategic plan, including the SEC’s enhanced regulation of broker-dealers, coordination with FINRA, review and approval of FINRA Rules, exemptive and no-action requests, and the involvement of the Investor Advisory Committee.

What are your thoughts on this plan? Share with us in the comments section!

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