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U.S. Securities and Exchange Commission FY 2012 Congressional Justification In Brief

This thesis makes several meaningful contributions to the literature and the practical perspective. First, it is conducted in a different setting from most previous studies. Thus, it provides an out-of-sample test for the theories and empirical models so far established. Second, this study fills one of the gaps in mutual fund studies by asking whether the findings in developed markets carry over to emerging markets. This is important because, even though emerging markets display several characteristics which are not found in developed markets, the literature on mutual funds in emerging markets is relatively thin and incomplete. . | U.S. Securities and Exchange Commission In Brief FY 2012 Congressional Justification February 2011 U.S. Securities and Exchange Commission TABLE OF CONTENTS Subject Page Executive Summary 1 Tables FTE and Positions by Program 9 Obligations by Object Class 10 FY 2012 Request by Strategic Goal and Program 11 Summary of Changes 12 Offsetting Collections and Spending Authority 13 Appropriations Language 14 Request by Strategic Goal FY 2012 Request by Strategic Goal 15 Goal 1 Foster and Enforce Compliance with Federal Securities Laws 18 Goal 2 Establish an Effective Regulatory Environment 28 Goal 3 Facilitate Access to the Information Investors Need to Make Informed Decisions 35 Goal 4 Maximize the Use of SEC Resources 41 Request by Program Division of Enforcement 49 Office of Compliance Inspections and Examinations 50 Division of Corporation Finance 51 Division of Trading and Markets 52 Division of Investment Management 53 Division of Risk Strategy and Financial Innovation 54 Office of the General Counsel 55 Other Program Offices 56 Office of Chief Accountant 57 Office of Investor Education and Advocacy 58 Office of International Affairs 59 Office of the Administrative Law Judges 60 Office of the Investor Advocate 61 Office of Credit Ratings 62 Office of Municipal Securities 63 Agency Direction and Administrative Support 64 Agency Direction 65 Office of the Executive Director 66 Office of the Chief Operating Officer 67 Office of Minority and Women Inclusion 68 Office of Equal Employment Opportunity 69 Office of the Inspector General 70 Appendix A-Acronyms 71 EXECUTIVE SUMMARY The U.S. Securities and Exchange Commission SEC is pleased to submit this budget request for fiscal year FY 2012 to support the agency s work to protect investors maintain fair orderly and efficient markets and facilitate capital formation. This request would provide the agency the funds necessary to carry out its core mission as well as the new responsibilities assigned to the agency by the .