Oct. 2009
The Securities and Exchange Commission (“SEC” or “Commission”) has released for
comment of its much anticipated Strategic Plan for Fiscal Years 2010 to 2015 (the
“Strategic Plan”).[1] The Strategic Plan addresses many of the overall goals and outcomes
sought by the SEC as a matter of principle and as a result of its congressional mandate to
protect investors, promote fair and efficient markets, and facilitate capital growth. The
broad goals outlined in the Strategic Plan include the familiar adages championed by the
SEC since its inception: (1) foster and enforce compliance with the federal securities
laws; (2) establish an effective regulatory environment; (3) facilitate investor access to
information; and (4) enhance the Commission’s performance by maximizing its
resources.[2] But not surprisingly, there is a noticeable change in the Commission’s
approach for the next five years outlined in the Strategic Plan.
To read the full PDF article, click here.