美国证券交易委员会2012年报告（英文）

daining413

Contents
Message from the Chairman 2
Management’s Discussion and Analysis 5
Vision, Mission, Values and Goals 6
History and Purpose 7
Organizational Structure and Resources 8
FY 2012 Year in Review 12
Looking Forward 28
Financial Highlights 32
Performance Highlights 38
Strategic and Performance Planning Framework 38
Performance Achievements 40
Management Assurances 43
Annual Assurance Statement 43
Financial Section 47
Message from the Chief Financial Officer 48
Report of Independent Auditors 50
Enclosure I: Management’s Response to Audit Opinion 61
Financial Statements 64
Notes to the Financial Statements 69
Required Supplementary Information (Unaudited) 95
Investor Protection Fund Financial Statements 98
Notes to the Investor Protection Fund Financial Statements 101
Other Accompanying Information 107
Inspector General’s Statement on Management and Performance Challenges 108
Management’s Response to Inspector General’s Statement 114
Summary of Financial Statement Audit and Management Assurances 118
Improper Payments Elimination and Recovery Act Reporting Details 119
Appendixes 121
Appendix A: Chairman and Commissioners 121
Appendix B: Major Enforcement Cases 125
Appendix C: SEC Divisions and Offices 145
Appendix D: Glossary of Selected Terms 147
Appendix E: Acronyms 151