Fiscal Year 2014 Agency Financial Report

Message from the Chair

During the past year, the talented and dedicated men and women of the U.S. Securities and Exchange Commission have tirelessly carried out the agency’s mission to protect investors, foster capital formation and promote fair, orderly and efficient markets.

Together, we have achieved many important accomplishments in Fiscal Year 2014 (FY 2014). We brought a record number of cutting edge enforcement actions, proposed and adopted rules that strengthened our financial system and increased transparency, promoted compliance through detailed, risk-based examinations of registrants and furthered enhanced transparency through our disclosure review program.

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Mission and Vision

Mission: The mission of the SEC is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.

Vision: The SEC strives to promote a market environment that is worthy of the public’s trust and characterized by:

• Transparent disclosure to investors of the risks of particular investments;
• Oversight of key market participants, including exchanges, brokers and dealers, investment advisers, and others;
• Focus on strengthening market structure and systems;
• Promotion of disclosure of market-related information;
• Protection against fraud and abuse; and
• Evaluation, development and maintenance of appropriate rules and regulations.

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