GAO Survey on SEC Personnel and Human Capital Management

U.S. Government Accountability Office

Contents

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Introduction

The U.S. Government Accountability Office (GAO), an independent agency that works for Congress, has been mandated by Section 962 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Pub.L. 111-203) to review the quality of personnel management at the U.S. Securities and Exchange Commission (SEC), including issues related to human capital programs, workforce planning, performance management, and communication. As a part of our review, we are sending this questionnaire to attorneys, accountants, examiners, financial economists, and IT specialists in mission-critical SEC divisions and offices to obtain their opinions about various aspects of working at the SEC. Your cooperation is critical to providing the Congress with complete and balanced information on how personnel management is functioning across these offices and divisions within the SEC. This questionnaire should take about 30 minutes to complete.

GAO pledges to maintain the confidentiality of the responses to this survey, which means that we will not share individually identifiable information obtained from the responses with SEC, nor release individually identifiable information outside of GAO unless compelled by a court or requested by the Congress. Our information protection protocols include destroying any link between the identification number assigned to your questionnaire and your identifying information before issuance of our report. The results of this questionnaire will be used to compile descriptive information on SEC's personnel management, and the results will be included in summary form in our final report. Individual answers may be discussed in the report, but we will not include any information that could be used to identify individual respondents.

All of the questions in this survey can be answered by clicking on radio buttons or providing comments in spaces provided at the end of each section. Please complete the questionnaire within 10 business days of receipt. This questionnaire is divided by topic into seven sections:

(1) Recruitment, Training, Staff Development, and Resources
(2) Communication Between and Within SEC Divisions and Offices
(3) Leadership and Management
(4) Performance Management and Promotions
(5) Organizational Culture and Climate
(6) Demographics and Background Information; and
(7) Final Comments.

Although your participation is voluntary, we urge you to complete this questionnaire. We cannot develop meaningful information without your frank and honest answers.

Thank you very much for your time.

To learn more about completing the survey, printing your responses, and whom to contact if you have questions, _____

Section 1 - Recruitment, Training, Staff Development, and Resources

Notes on terms used in Section 1:

(1) Division/office: For purposes of this survey, the phrase "division/office" refers to your division or office (such as the Division of Corporation Finance or OCIE in the Headquarters or the Division of Enforcement or OCIE in a regional office).

(2) Supervisors and managers: For the purposes of this survey, the phrase "supervisors and managers" refers to those in supervisory or management positions above your current level.

For non-supervisory staff, "supervisors and managers" refers to Exam Managers, Branch Chiefs, and Assistant Directors.

For Exam Managers, Branch Chiefs, and Assistant Directors, "supervisors" refers to those persons above you in the chain of command who are Assistant Directors or Associate Directors.

(3) Management: For purposes of this survey, "management" refers to Assistant Directors and those at the Senior Officer (SO) level including Directors, Deputy Directors, Managing Executives, and Associate Directors.

1. To what extent do you agree or disagree with the following statements on recruitment, hiring and retention? (Select one response per item.)

1a. My division/office is able to attract talented and qualified employees.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 43.9 40.1, 47.7
  Somewhat agree 35.5 31.8, 39.1
  Neither agree nor disagree 7.8 5.7, 10.4
  Somewhat disagree 6.7 4.8, 9.1
  Strongly disagree 4.3 2.7, 6.3
  Do not know 1.8 0.9, 3.3
B Entry or Mid-Level Non-Supervisors Strongly agree 43.8 39.6, 48.0
  Somewhat agree 34.5 30.4, 38.6
  Neither agree nor disagree 7.7 5.4, 10.6
  Somewhat disagree 6.9 4.7, 9.7
  Strongly disagree 4.8 3.0, 7.2
  Do not know 2.3 1.1, 4.2
C Supervisors Strongly agree 44.3 35.8, 52.9
  Somewhat agree 39.2 30.9, 47.6
  Neither agree nor disagree 8.1 3.8, 14.7
  Somewhat disagree 6.1 2.5, 12.2
  Strongly disagree 2.2 0.4, 6.9
  Do not know 0.0 0.0, 2.6
D Corporation Finance Strongly agree 29.2 19.0, 41.1
  Somewhat agree 30.6 20.2, 42.5
  Neither agree nor disagree 16.7 8.9, 27.3
  Somewhat disagree 9.7 4.0, 19.0
  Strongly disagree 5.6 1.5, 13.6
  Do not know 8.3 3.1, 17.3
E Division of Economic and Risk Analysis Strongly agree . Data Not Reported
  Somewhat agree . Data Not Reported
  Neither agree nor disagree 5.4 0.7, 18.2
  Somewhat disagree 10.8 3.0, 25.4
  Strongly disagree 13.5 4.5, 28.8
  Do not know 0.0 0.0, 7.8
F Enforcement Strongly agree 59.4 52.4, 66.3
  Somewhat agree 32.1 25.5, 38.7
  Neither agree nor disagree 3.3 1.1, 7.5
  Somewhat disagree 3.3 1.1, 7.5
  Strongly disagree 2.0 0.4, 5.7
  Do not know 0.0 0.0, 1.9
G Investment Management Strongly agree 67.4 51.5, 80.9
  Somewhat agree 18.6 8.4, 33.4
  Neither agree nor disagree 0.0 0.0, 6.7
  Somewhat disagree 7.0 1.5, 19.1
  Strongly disagree 4.7 0.6, 15.8
  Do not know 2.3 0.1, 12.3
H Office of the Chief Accountant and Office of Credit Ratings Strongly agree . Data Not Reported
  Somewhat agree . Data Not Reported
  Neither agree nor disagree . Data Not Reported
  Somewhat disagree 4.5 0.1, 22.8
  Strongly disagree . Data Not Reported
  Do not know 0.0 0.0, 12.7
I Compliance Inspections and Examinations Strongly agree 37.3 29.5, 45.1
  Somewhat agree 42.0 34.0, 50.0
  Neither agree nor disagree 9.9 5.5, 16.3
  Somewhat disagree 6.4 3.0, 11.8
  Strongly disagree 3.0 0.9, 7.3
  Do not know 1.3 0.1, 4.9
J Information Technology Strongly agree 22.7 11.5, 37.8
  Somewhat agree 34.1 20.5, 49.9
  Neither agree nor disagree 18.2 8.2, 32.7
  Somewhat disagree 13.6 5.2, 27.4
  Strongly disagree 11.4 3.8, 24.6
  Do not know 0.0 0.0, 6.6
K Trading and Markets Strongly agree 29.2 17.0, 44.1
  Somewhat agree 43.8 33.2, 54.3
  Neither agree nor disagree 2.1 0.1, 11.1
  Somewhat disagree 14.6 6.1, 27.8
  Strongly disagree 6.3 1.3, 17.2
  Do not know 4.2 0.5, 14.3
L Enforcement Regional Offices Strongly agree 58.0 48.7, 67.2
  Somewhat agree 33.0 24.1, 41.8
  Neither agree nor disagree 3.4 0.7, 9.6
  Somewhat disagree 3.4 0.7, 9.6
  Strongly disagree 2.3 0.3, 8.0
  Do not know 0.0 0.0, 3.3
M Enforcement Headquarters Strongly agree 61.5 51.4, 71.6
  Somewhat agree 30.8 19.9, 43.4
  Neither agree nor disagree 3.1 0.4, 10.7
  Somewhat disagree 3.1 0.4, 10.7
  Strongly disagree 1.5 0.0, 8.3
  Do not know 0.0 0.0, 4.5
N Compliance Inspections and Examinations Regional Offices Strongly agree 38.0 28.2, 47.7
  Somewhat agree 41.8 31.9, 51.7
  Neither agree nor disagree 11.4 5.3, 20.5
  Somewhat disagree 5.1 1.4, 12.5
  Strongly disagree 2.5 0.3, 8.8
  Do not know 1.3 0.0, 6.9
O Compliance Inspections and Examinations Headquarters Strongly agree 34.9 23.3, 48.0
  Somewhat agree 42.9 33.6, 52.1
  Neither agree nor disagree 4.8 1.0, 13.3
  Somewhat disagree 11.1 4.6, 21.6
  Strongly disagree 4.8 1.0, 13.3
  Do not know 1.6 0.0, 8.5

1b. My division/office retains its most talented and qualified employees.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 21.4 18.2, 24.6
  Somewhat agree 38.5 34.7, 42.2
  Neither agree nor disagree 12.4 10.0, 14.8
  Somewhat disagree 18.1 15.2, 21.0
  Strongly disagree 7.9 5.8, 10.5
  Do not know 1.8 0.8, 3.2
B Entry or Mid-Level Non-Supervisors Strongly agree 19.4 16.0, 22.8
  Somewhat agree 38.3 34.1, 42.5
  Neither agree nor disagree 12.6 9.7, 16.0
  Somewhat disagree 18.5 15.3, 21.7
  Strongly disagree 9.0 6.5, 12.0
  Do not know 2.2 1.1, 4.1
C Supervisors Strongly agree 29.0 20.8, 37.2
  Somewhat agree 39.0 30.7, 47.2
  Neither agree nor disagree 11.6 6.4, 19.0
  Somewhat disagree 16.5 10.2, 24.6
  Strongly disagree 3.9 1.2, 9.3
  Do not know 0.0 0.0, 2.6
D Corporation Finance Strongly agree 21.1 12.3, 32.4
  Somewhat agree 32.4 21.8, 44.5
  Neither agree nor disagree 12.7 6.0, 22.7
  Somewhat disagree 22.5 13.5, 34.0
  Strongly disagree 7.0 2.3, 15.7
  Do not know 4.2 0.9, 11.9
E Division of Economic and Risk Analysis Strongly agree 13.5 4.5, 28.8
  Somewhat agree 24.3 11.8, 41.2
  Neither agree nor disagree 16.2 6.2, 32.0
  Somewhat disagree . Data Not Reported
  Strongly disagree 16.2 6.2, 32.0
  Do not know 0.0 0.0, 7.8
F Enforcement Strongly agree 23.9 17.4, 31.5
  Somewhat agree 38.6 31.7, 45.4
  Neither agree nor disagree 11.0 6.5, 17.1
  Somewhat disagree 17.7 12.0, 24.7
  Strongly disagree 6.9 3.4, 12.1
  Do not know 1.9 0.4, 5.6
G Investment Management Strongly agree 30.2 17.2, 46.1
  Somewhat agree . Data Not Reported
  Neither agree nor disagree 9.3 2.6, 22.1
  Somewhat disagree 11.6 3.9, 25.1
  Strongly disagree 2.3 0.1, 12.3
  Do not know 4.7 0.6, 15.8
H Office of the Chief Accountant and Office of Credit Ratings Strongly agree . Data Not Reported
  Somewhat agree . Data Not Reported
  Neither agree nor disagree . Data Not Reported
  Somewhat disagree . Data Not Reported
  Strongly disagree 4.3 0.1, 21.9
  Do not know 0.0 0.0, 12.2
I Compliance Inspections and Examinations Strongly agree 20.3 14.0, 27.8
  Somewhat agree 45.2 37.1, 53.3
  Neither agree nor disagree 10.3 5.9, 16.6
  Somewhat disagree 15.8 10.2, 22.9
  Strongly disagree 8.0 4.1, 13.8
  Do not know 0.3 0.0, 3.9
J Information Technology Strongly agree 20.5 9.8, 35.3
  Somewhat agree 25.0 13.2, 40.3
  Neither agree nor disagree 18.2 8.2, 32.7
  Somewhat disagree 13.6 5.2, 27.4
  Strongly disagree 20.5 9.8, 35.3
  Do not know 2.3 0.1, 12.0
K Trading and Markets Strongly agree 14.6 6.1, 27.8
  Somewhat agree 29.2 17.0, 44.1
  Neither agree nor disagree 22.9 12.0, 37.3
  Somewhat disagree 25.0 13.6, 39.6
  Strongly disagree 6.3 1.3, 17.2
  Do not know 2.1 0.1, 11.1
L Enforcement Regional Offices Strongly agree 26.4 17.6, 37.0
  Somewhat agree 35.6 26.6, 44.7
  Neither agree nor disagree 9.2 4.1, 17.3
  Somewhat disagree 17.2 10.0, 26.8
  Strongly disagree 10.3 4.8, 18.7
  Do not know 1.1 0.0, 6.2
M Enforcement Headquarters Strongly agree 20.0 11.1, 31.8
  Somewhat agree 43.1 32.8, 53.4
  Neither agree nor disagree 13.8 6.5, 24.7
  Somewhat disagree 18.5 9.9, 30.0
  Strongly disagree 1.5 0.0, 8.3
  Do not know 3.1 0.4, 10.7
N Compliance Inspections and Examinations Regional Offices Strongly agree 21.5 13.1, 32.2
  Somewhat agree 48.1 38.1, 58.1
  Neither agree nor disagree 10.1 4.5, 19.0
  Somewhat disagree 12.7 6.2, 22.0
  Strongly disagree 7.6 2.8, 15.8
  Do not know 0.0 0.0, 3.7
O Compliance Inspections and Examinations Headquarters Strongly agree 15.9 7.9, 27.3
  Somewhat agree 34.9 23.3, 48.0
  Neither agree nor disagree 11.1 4.6, 21.6
  Somewhat disagree 27.0 16.6, 39.7
  Strongly disagree 9.5 3.6, 19.6
  Do not know 1.6 0.0, 8.5

1c. SEC management usually hires employees who are a good fit for SEC's mission.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 30.3 26.7, 33.8
  Somewhat agree 44.4 40.6, 48.2
  Neither agree nor disagree 11.9 9.3, 14.4
  Somewhat disagree 6.8 4.8, 9.2
  Strongly disagree 3.5 2.1, 5.4
  Do not know 3.2 1.9, 5.0
B Entry or Mid-Level Non-Supervisors Strongly agree 27.7 23.8, 31.5
  Somewhat agree 45.6 41.3, 49.8
  Neither agree nor disagree 13.0 10.0, 16.5
  Somewhat disagree 5.8 3.8, 8.4
  Strongly disagree 3.9 2.3, 6.2
  Do not know 4.0 2.4, 6.3
C Supervisors Strongly agree 40.4 31.8, 49.0
  Somewhat agree 39.9 31.4, 48.4
  Neither agree nor disagree 7.5 3.4, 14.0
  Somewhat disagree 10.5 5.6, 17.7
  Strongly disagree 1.7 0.2, 6.1
  Do not know 0.0 0.0, 2.6
D Corporation Finance Strongly agree 37.5 28.0, 47.0
  Somewhat agree 34.7 25.4, 44.0
  Neither agree nor disagree 6.9 2.3, 15.5
  Somewhat disagree 8.3 3.1, 17.3
  Strongly disagree 2.8 0.3, 9.7
  Do not know 9.7 4.0, 19.0
E Division of Economic and Risk Analysis Strongly agree . Data Not Reported
  Somewhat agree . Data Not Reported
  Neither agree nor disagree 10.8 3.0, 25.4
  Somewhat disagree 5.4 0.7, 18.2
  Strongly disagree 10.8 3.0, 25.4
  Do not know 5.4 0.7, 18.2
F Enforcement Strongly agree 33.7 27.0, 40.4
  Somewhat agree 44.3 37.4, 51.3
  Neither agree nor disagree 11.5 6.9, 17.6
  Somewhat disagree 5.3 2.3, 10.2
  Strongly disagree 2.0 0.4, 5.7
  Do not know 3.2 1.0, 7.4
G Investment Management Strongly agree . Data Not Reported
  Somewhat agree 50.0 39.5, 60.5
  Neither agree nor disagree 7.1 1.5, 19.5
  Somewhat disagree 2.4 0.1, 12.6
  Strongly disagree 2.4 0.1, 12.6
  Do not know 2.4 0.1, 12.6
H Office of the Chief Accountant and Office of Credit Ratings Strongly agree . Data Not Reported
  Somewhat agree . Data Not Reported
  Neither agree nor disagree 8.7 1.1, 28.0
  Somewhat disagree 4.3 0.1, 21.9
  Strongly disagree 4.3 0.1, 21.9
  Do not know 0.0 0.0, 12.2
I Compliance Inspections and Examinations Strongly agree 26.6 19.4, 33.8
  Somewhat agree 47.8 39.7, 55.8
  Neither agree nor disagree 13.7 8.5, 20.4
  Somewhat disagree 8.3 4.3, 14.2
  Strongly disagree 2.7 0.7, 6.9
  Do not know 1.0 0.0, 4.7
J Information Technology Strongly agree 20.5 9.8, 35.3
  Somewhat agree 29.5 16.8, 45.2
  Neither agree nor disagree 13.6 5.2, 27.4
  Somewhat disagree 15.9 6.6, 30.1
  Strongly disagree 18.2 8.2, 32.7
  Do not know 2.3 0.1, 12.0
K Trading and Markets Strongly agree 20.8 10.5, 35.0
  Somewhat agree 54.2 43.6, 64.7
  Neither agree nor disagree 18.8 8.9, 32.6
  Somewhat disagree 2.1 0.1, 11.1
  Strongly disagree 2.1 0.1, 11.1
  Do not know 2.1 0.1, 11.1
L Enforcement Regional Offices Strongly agree 35.2 26.2, 44.2
  Somewhat agree 39.8 30.6, 49.0
  Neither agree nor disagree 14.8 8.1, 23.9
  Somewhat disagree 5.7 1.9, 12.8
  Strongly disagree 2.3 0.3, 8.0
  Do not know 2.3 0.3, 8.0
M Enforcement Headquarters Strongly agree 31.3 20.2, 44.1
  Somewhat agree 51.6 41.1, 62.0
  Neither agree nor disagree 6.2 1.7, 15.2
  Somewhat disagree 4.7 1.0, 13.1
  Strongly disagree 1.6 0.0, 8.4
  Do not know 4.7 1.0, 13.1
N Compliance Inspections and Examinations Regional Offices Strongly agree 27.8 18.3, 39.1
  Somewhat agree 45.6 35.6, 55.6
  Neither agree nor disagree 13.9 7.2, 23.5
  Somewhat disagree 8.9 3.6, 17.4
  Strongly disagree 2.5 0.3, 8.8
  Do not know 1.3 0.0, 6.9
O Compliance Inspections and Examinations Headquarters Strongly agree 22.2 12.7, 34.5
  Somewhat agree 55.6 46.3, 64.8
  Neither agree nor disagree 12.7 5.6, 23.5
  Somewhat disagree 6.3 1.8, 15.5
  Strongly disagree 3.2 0.4, 11.0
  Do not know 0.0 0.0, 4.6

1d. When new people start in jobs in my division/office, they are given enough guidance and training.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 19.0 15.9, 22.1
  Somewhat agree 37.9 34.2, 41.7
  Neither agree nor disagree 14.8 12.1, 17.4
  Somewhat disagree 15.0 12.2, 17.7
  Strongly disagree 7.3 5.3, 9.8
  Do not know 6.0 4.2, 8.3
B Entry or Mid-Level Non-Supervisors Strongly agree 17.5 14.2, 20.8
  Somewhat agree 35.9 31.7, 40.1
  Neither agree nor disagree 16.3 13.1, 19.4
  Somewhat disagree 15.3 12.3, 18.4
  Strongly disagree 7.8 5.5, 10.7
  Do not know 7.3 5.0, 10.1
C Supervisors Strongly agree 24.9 17.3, 33.9
  Somewhat agree 45.8 37.3, 54.3
  Neither agree nor disagree 8.9 4.4, 15.7
  Somewhat disagree 13.5 7.8, 21.2
  Strongly disagree 5.5 2.1, 11.4
  Do not know 1.3 0.1, 5.5
D Corporation Finance Strongly agree 23.9 14.6, 35.5
  Somewhat agree 39.4 29.8, 49.0
  Neither agree nor disagree 11.3 5.0, 21.0
  Somewhat disagree 7.0 2.3, 15.7
  Strongly disagree 8.5 3.2, 17.5
  Do not know 9.9 4.1, 19.3
E Division of Economic and Risk Analysis Strongly agree 16.2 6.2, 32.0
  Somewhat agree . Data Not Reported
  Neither agree nor disagree 18.9 8.0, 35.2
  Somewhat disagree 18.9 8.0, 35.2
  Strongly disagree 13.5 4.5, 28.8
  Do not know 2.7 0.1, 14.2
F Enforcement Strongly agree 19.7 13.7, 26.9
  Somewhat agree 38.0 31.2, 44.8
  Neither agree nor disagree 13.5 8.5, 20.0
  Somewhat disagree 15.1 9.8, 21.8
  Strongly disagree 6.4 3.1, 11.6
  Do not know 7.2 3.6, 12.5
G Investment Management Strongly agree 18.6 8.4, 33.4
  Somewhat agree 23.3 11.8, 38.6
  Neither agree nor disagree 18.6 8.4, 33.4
  Somewhat disagree 23.3 11.8, 38.6
  Strongly disagree 4.7 0.6, 15.8
  Do not know 11.6 3.9, 25.1
H Office of the Chief Accountant and Office of Credit Ratings Strongly agree . Data Not Reported
  Somewhat agree . Data Not Reported
  Neither agree nor disagree . Data Not Reported
  Somewhat disagree . Data Not Reported
  Strongly disagree 0.0 0.0, 12.2
  Do not know 4.3 0.1, 21.9
I Compliance Inspections and Examinations Strongly agree 19.7 13.4, 27.2
  Somewhat agree 41.9 34.0, 49.9
  Neither agree nor disagree 14.1 8.8, 20.9
  Somewhat disagree 14.0 8.7, 20.9
  Strongly disagree 7.1 3.4, 12.6
  Do not know 3.3 1.0, 8.0
J Information Technology Strongly agree 11.4 3.8, 24.6
  Somewhat agree 34.1 20.5, 49.9
  Neither agree nor disagree 27.3 15.0, 42.8
  Somewhat disagree 6.8 1.4, 18.7
  Strongly disagree 18.2 8.2, 32.7
  Do not know 2.3 0.1, 12.0
K Trading and Markets Strongly agree 12.5 4.7, 25.2
  Somewhat agree 33.3 20.4, 48.4
  Neither agree nor disagree 12.5 4.7, 25.2
  Somewhat disagree 31.3 18.7, 46.3
  Strongly disagree 4.2 0.5, 14.3
  Do not know 6.3 1.3, 17.2
L Enforcement Regional Offices Strongly agree 19.5 11.8, 29.4
  Somewhat agree 43.7 34.3, 53.1
  Neither agree nor disagree 10.3 4.8, 18.7
  Somewhat disagree 14.9 8.2, 24.2
  Strongly disagree 4.6 1.3, 11.4
  Do not know 6.9 2.6, 14.4
M Enforcement Headquarters Strongly agree 20.0 11.1, 31.8
  Somewhat agree 29.2 18.6, 41.8
  Neither agree nor disagree 18.5 9.9, 30.0
  Somewhat disagree 15.4 7.6, 26.5
  Strongly disagree 9.2 3.5, 19.0
  Do not know 7.7 2.5, 17.0
N Compliance Inspections and Examinations Regional Offices Strongly agree 21.5 13.1, 32.2
  Somewhat agree 39.2 29.5, 49.0
  Neither agree nor disagree 13.9 7.2, 23.5
  Somewhat disagree 15.2 8.1, 25.0
  Strongly disagree 6.3 2.1, 14.2
  Do not know 3.8 0.8, 10.7
O Compliance Inspections and Examinations Headquarters Strongly agree 12.9 5.7, 23.9
  Somewhat agree 51.6 42.2, 61.0
  Neither agree nor disagree 14.5 6.9, 25.8
  Somewhat disagree 9.7 3.6, 19.9
  Strongly disagree 9.7 3.6, 19.9
  Do not know 1.6 0.0, 8.7

1e. Hiring is sometimes based more on personal connections than on substantive experience or qualifications.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 9.4 7.1, 12.1
  Somewhat agree 15.4 12.7, 18.0
  Neither agree nor disagree 16.1 13.2, 18.9
  Somewhat disagree 19.9 16.7, 23.0
  Strongly disagree 24.6 21.2, 28.0
  Do not know 14.7 12.1, 17.4
B Entry or Mid-Level Non-Supervisors Strongly agree 10.0 7.3, 13.1
  Somewhat agree 16.5 13.4, 19.6
  Neither agree nor disagree 16.1 13.0, 19.2
  Somewhat disagree 20.8 17.2, 24.4
  Strongly disagree 19.5 16.0, 23.0
  Do not know 17.1 13.9, 20.3
C Supervisors Strongly agree 7.2 3.2, 13.6
  Somewhat agree 11.0 5.9, 18.2
  Neither agree nor disagree 15.9 9.7, 24.0
  Somewhat disagree 16.4 10.1, 24.5
  Strongly disagree 44.1 35.5, 52.8
  Do not know 5.4 2.1, 11.3
D Corporation Finance Strongly agree 13.9 6.9, 24.1
  Somewhat agree 11.1 4.9, 20.7
  Neither agree nor disagree 13.9 6.9, 24.1
  Somewhat disagree 13.9 6.9, 24.1
  Strongly disagree 19.4 11.1, 30.5
  Do not know 27.8 17.9, 39.6
E Division of Economic and Risk Analysis Strongly agree 8.1 1.7, 21.9
  Somewhat agree 10.8 3.0, 25.4
  Neither agree nor disagree 13.5 4.5, 28.8
  Somewhat disagree . Data Not Reported
  Strongly disagree . Data Not Reported
  Do not know 5.4 0.7, 18.2
F Enforcement Strongly agree 8.6 4.6, 14.2
  Somewhat agree 19.1 13.2, 26.3
  Neither agree nor disagree 13.7 8.6, 20.2
  Somewhat disagree 21.9 15.6, 29.4
  Strongly disagree 22.7 16.3, 30.2
  Do not know 14.0 8.9, 20.6
G Investment Management Strongly agree 4.7 0.6, 15.8
  Somewhat agree 34.9 21.0, 50.9
  Neither agree nor disagree 16.3 6.8, 30.7
  Somewhat disagree 9.3 2.6, 22.1
  Strongly disagree 16.3 6.8, 30.7
  Do not know 18.6 8.4, 33.4
H Office of the Chief Accountant and Office of Credit Ratings Strongly agree . Data Not Reported
  Somewhat agree 0.0 0.0, 12.2
  Neither agree nor disagree . Data Not Reported
  Somewhat disagree . Data Not Reported
  Strongly disagree . Data Not Reported
  Do not know 8.7 1.1, 28.0
I Compliance Inspections and Examinations Strongly agree 4.7 1.9, 9.6
  Somewhat agree 9.1 4.9, 15.0
  Neither agree nor disagree 19.0 12.9, 26.4
  Somewhat disagree 23.4 16.7, 31.2
  Strongly disagree 32.8 25.1, 40.6
  Do not know 11.0 6.4, 17.4
J Information Technology Strongly agree 29.5 16.8, 45.2
  Somewhat agree 34.1 20.5, 49.9
  Neither agree nor disagree 15.9 6.6, 30.1
  Somewhat disagree 9.1 2.5, 21.7
  Strongly disagree 6.8 1.4, 18.7
  Do not know 4.5 0.6, 15.5
K Trading and Markets Strongly agree 14.6 6.1, 27.8
  Somewhat agree 12.5 4.7, 25.2
  Neither agree nor disagree 16.7 7.5, 30.2
  Somewhat disagree 12.5 4.7, 25.2
  Strongly disagree 20.8 10.5, 35.0
  Do not know 22.9 12.0, 37.3
L Enforcement Regional Offices Strongly agree 8.0 3.3, 15.7
  Somewhat agree 18.2 10.8, 27.8
  Neither agree nor disagree 11.4 5.6, 19.9
  Somewhat disagree 22.7 14.5, 32.9
  Strongly disagree 25.0 16.4, 35.4
  Do not know 14.8 8.1, 23.9
M Enforcement Headquarters Strongly agree 9.5 3.6, 19.6
  Somewhat agree 20.6 11.5, 32.7
  Neither agree nor disagree 17.5 9.1, 29.1
  Somewhat disagree 20.6 11.5, 32.7
  Strongly disagree 19.0 10.2, 30.9
  Do not know 12.7 5.6, 23.5
N Compliance Inspections and Examinations Regional Offices Strongly agree 3.8 0.8, 10.7
  Somewhat agree 7.6 2.8, 15.8
  Neither agree nor disagree 19.0 11.0, 29.4
  Somewhat disagree 22.8 14.1, 33.6
  Strongly disagree 36.7 27.0, 46.4
  Do not know 10.1 4.5, 19.0
O Compliance Inspections and Examinations Headquarters Strongly agree 7.9 2.6, 17.6
  Somewhat agree 14.3 6.7, 25.4
  Neither agree nor disagree 19.0 10.2, 30.9
  Somewhat disagree 25.4 15.3, 37.9
  Strongly disagree 19.0 10.2, 30.9
  Do not know 14.3 6.7, 25.4

1f. My division/office has enough staff to manage the volume of work that needs to be completed

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 7.0 5.1, 9.5
  Somewhat agree 18.0 15.1, 21.0
  Neither agree nor disagree 13.9 11.3, 16.6
  Somewhat disagree 30.4 26.9, 34.0
  Strongly disagree 27.4 23.9, 30.8
  Do not know 3.2 1.9, 5.0
B Entry or Mid-Level Non-Supervisors Strongly agree 6.7 4.6, 9.4
  Somewhat agree 16.9 13.8, 20.0
  Neither agree nor disagree 14.8 11.7, 17.9
  Somewhat disagree 32.3 28.2, 36.4
  Strongly disagree 25.3 21.5, 29.0
  Do not know 4.0 2.4, 6.3
C Supervisors Strongly agree 8.3 3.7, 15.5
  Somewhat agree 22.5 15.2, 31.3
  Neither agree nor disagree 10.5 5.5, 17.7
  Somewhat disagree 23.1 15.7, 32.0
  Strongly disagree 35.5 27.2, 43.8
  Do not know 0.0 0.0, 2.6
D Corporation Finance Strongly agree 11.1 4.9, 20.7
  Somewhat agree 30.6 20.2, 42.5
  Neither agree nor disagree 15.3 7.9, 25.7
  Somewhat disagree 20.8 12.2, 32.0
  Strongly disagree 18.1 10.0, 28.9
  Do not know 4.2 0.9, 11.7
E Division of Economic and Risk Analysis Strongly agree 2.7 0.1, 14.2
  Somewhat agree 21.6 9.8, 38.2
  Neither agree nor disagree 13.5 4.5, 28.8
  Somewhat disagree . Data Not Reported
  Strongly disagree 18.9 8.0, 35.2
  Do not know 0.0 0.0, 7.8
F Enforcement Strongly agree 7.1 3.6, 12.3
  Somewhat agree 15.0 9.8, 21.7
  Neither agree nor disagree 10.5 6.2, 16.5
  Somewhat disagree 33.5 26.8, 40.1
  Strongly disagree 29.2 22.9, 35.6
  Do not know 4.7 1.9, 9.3
G Investment Management Strongly agree 14.0 5.3, 27.9
  Somewhat agree 20.9 10.0, 36.0
  Neither agree nor disagree 16.3 6.8, 30.7
  Somewhat disagree 27.9 15.3, 43.7
  Strongly disagree 18.6 8.4, 33.4
  Do not know 2.3 0.1, 12.3
H Office of the Chief Accountant and Office of Credit Ratings Strongly agree 9.1 1.1, 29.2
  Somewhat agree . Data Not Reported
  Neither agree nor disagree 9.1 1.1, 29.2
  Somewhat disagree . Data Not Reported
  Strongly disagree . Data Not Reported
  Do not know 0.0 0.0, 12.7
I Compliance Inspections and Examinations Strongly agree 6.4 2.9, 11.7
  Somewhat agree 16.7 10.9, 23.9
  Neither agree nor disagree 16.7 11.0, 23.9
  Somewhat disagree 29.4 22.1, 36.8
  Strongly disagree 27.8 20.5, 35.0
  Do not know 3.0 0.9, 7.4
J Information Technology Strongly agree 0.0 0.0, 6.6
  Somewhat agree 9.1 2.5, 21.7
  Neither agree nor disagree 9.1 2.5, 21.7
  Somewhat disagree 36.4 22.4, 52.2
  Strongly disagree 45.5 35.1, 55.8
  Do not know 0.0 0.0, 6.6
K Trading and Markets Strongly agree 4.2 0.5, 14.3
  Somewhat agree 14.6 6.1, 27.8
  Neither agree nor disagree 20.8 10.5, 35.0
  Somewhat disagree 27.1 15.3, 41.8
  Strongly disagree 33.3 20.4, 48.4
  Do not know 0.0 0.0, 6.1
L Enforcement Regional Offices Strongly agree 5.7 1.9, 12.8
  Somewhat agree 14.8 8.1, 23.9
  Neither agree nor disagree 11.4 5.6, 19.9
  Somewhat disagree 35.2 26.2, 44.2
  Strongly disagree 27.3 18.3, 37.8
  Do not know 5.7 1.9, 12.8
M Enforcement Headquarters Strongly agree 9.2 3.5, 19.0
  Somewhat agree 15.4 7.6, 26.5
  Neither agree nor disagree 9.2 3.5, 19.0
  Somewhat disagree 30.8 19.9, 43.4
  Strongly disagree 32.3 21.2, 45.1
  Do not know 3.1 0.4, 10.7
N Compliance Inspections and Examinations Regional Offices Strongly agree 6.3 2.1, 14.2
  Somewhat agree 17.7 10.0, 27.9
  Neither agree nor disagree 16.5 9.1, 26.5
  Somewhat disagree 29.1 19.4, 40.4
  Strongly disagree 27.8 18.3, 39.1
  Do not know 2.5 0.3, 8.8
O Compliance Inspections and Examinations Headquarters Strongly agree 6.5 1.8, 15.7
  Somewhat agree 12.9 5.7, 23.9
  Neither agree nor disagree 17.7 9.2, 29.5
  Somewhat disagree 30.6 19.6, 43.7
  Strongly disagree 27.4 16.9, 40.2
  Do not know 4.8 1.0, 13.5

2. To what extent do you agree or disagree with the following statements on training and development opportunities? (Select one response per item.)

Please note: Some questions ask you to look back over the past three years. If you have worked at the SEC for less than three years, we ask that you look back over the period of time that you have worked at the SEC.

2a. SEC management is committed to the ongoing training and development of staff.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 31.7 28.1, 35.4
  Somewhat agree 44.0 40.2, 47.8
  Neither agree nor disagree 10.2 7.8, 13.0
  Somewhat disagree 9.1 6.8, 11.8
  Strongly disagree 4.0 2.5, 6.0
  Do not know 1.0 0.3, 2.2
B Entry or Mid-Level Non-Supervisors Strongly agree 28.4 24.5, 32.4
  Somewhat agree 45.2 40.9, 49.5
  Neither agree nor disagree 10.6 7.9, 13.9
  Somewhat disagree 10.0 7.4, 13.1
  Strongly disagree 4.5 2.8, 6.8
  Do not know 1.2 0.4, 2.8
C Supervisors Strongly agree 44.7 36.0, 53.4
  Somewhat agree 39.2 30.8, 47.5
  Neither agree nor disagree 8.3 3.9, 15.0
  Somewhat disagree 5.7 2.2, 11.7
  Strongly disagree 2.2 0.4, 6.9
  Do not know 0.0 0.0, 2.6
D Corporation Finance Strongly agree 28.2 18.1, 40.1
  Somewhat agree 49.3 39.5, 59.1
  Neither agree nor disagree 5.6 1.6, 13.8
  Somewhat disagree 8.5 3.2, 17.5
  Strongly disagree 7.0 2.3, 15.7
  Do not know 1.4 0.0, 7.6
E Division of Economic and Risk Analysis Strongly agree 24.3 11.8, 41.2
  Somewhat agree . Data Not Reported
  Neither agree nor disagree . Data Not Reported
  Somewhat disagree 13.5 4.5, 28.8
  Strongly disagree 5.4 0.7, 18.2
  Do not know 2.7 0.1, 14.2
F Enforcement Strongly agree 35.2 28.5, 41.9
  Somewhat agree 43.9 36.9, 50.9
  Neither agree nor disagree 8.5 4.6, 14.1
  Somewhat disagree 8.5 4.6, 14.0
  Strongly disagree 2.5 0.7, 6.4
  Do not know 1.4 0.2, 4.8
G Investment Management Strongly agree 27.9 15.3, 43.7
  Somewhat agree 51.2 40.8, 61.5
  Neither agree nor disagree 11.6 3.9, 25.1
  Somewhat disagree 7.0 1.5, 19.1
  Strongly disagree 2.3 0.1, 12.3
  Do not know 0.0 0.0, 6.7
H Office of the Chief Accountant and Office of Credit Ratings Strongly agree . Data Not Reported
  Somewhat agree . Data Not Reported
  Neither agree nor disagree . Data Not Reported
  Somewhat disagree 8.7 1.1, 28.0
  Strongly disagree 0.0 0.0, 12.2
  Do not know 0.0 0.0, 12.2
I Compliance Inspections and Examinations Strongly agree 34.9 27.2, 42.7
  Somewhat agree 42.4 34.5, 50.4
  Neither agree nor disagree 10.3 5.8, 16.6
  Somewhat disagree 9.4 5.1, 15.4
  Strongly disagree 2.7 0.7, 6.9
  Do not know 0.3 0.0, 3.9
J Information Technology Strongly agree 15.9 6.6, 30.1
  Somewhat agree 34.1 20.5, 49.9
  Neither agree nor disagree 15.9 6.6, 30.1
  Somewhat disagree 13.6 5.2, 27.4
  Strongly disagree 20.5 9.8, 35.3
  Do not know 0.0 0.0, 6.6
K Trading and Markets Strongly agree 25.5 13.9, 40.3
  Somewhat agree 53.2 42.5, 63.9
  Neither agree nor disagree 8.5 2.4, 20.4
  Somewhat disagree 8.5 2.4, 20.4
  Strongly disagree 2.1 0.1, 11.3
  Do not know 2.1 0.1, 11.3
L Enforcement Regional Offices Strongly agree 34.1 25.2, 43.0
  Somewhat agree 45.5 36.1, 54.8
  Neither agree nor disagree 9.1 4.0, 17.1
  Somewhat disagree 8.0 3.3, 15.7
  Strongly disagree 1.1 0.0, 6.2
  Do not know 2.3 0.3, 8.0
M Enforcement Headquarters Strongly agree 36.9 26.9, 47.0
  Somewhat agree 41.5 31.3, 51.8
  Neither agree nor disagree 7.7 2.5, 17.0
  Somewhat disagree 9.2 3.5, 19.0
  Strongly disagree 4.6 1.0, 12.9
  Do not know 0.0 0.0, 4.5
N Compliance Inspections and Examinations Regional Offices Strongly agree 36.7 27.0, 46.4
  Somewhat agree 40.5 30.7, 50.3
  Neither agree nor disagree 11.4 5.3, 20.5
  Somewhat disagree 8.9 3.6, 17.4
  Strongly disagree 2.5 0.3, 8.8
  Do not know 0.0 0.0, 3.7
O Compliance Inspections and Examinations Headquarters Strongly agree 28.6 17.9, 41.3
  Somewhat agree 49.2 39.9, 58.5
  Neither agree nor disagree 6.3 1.8, 15.5
  Somewhat disagree 11.1 4.6, 21.6
  Strongly disagree 3.2 0.4, 11.0
  Do not know 1.6 0.0, 8.5

2b. SEC needs to invest more in the development of new staff.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 20.5 17.5, 23.6
  Somewhat agree 37.2 33.5, 40.9
  Neither agree nor disagree 23.8 20.5, 27.1
  Somewhat disagree 11.7 9.1, 14.3
  Strongly disagree 2.5 1.3, 4.1
  Do not know 4.4 2.8, 6.4
B Entry or Mid-Level Non-Supervisors Strongly agree 20.8 17.3, 24.2
  Somewhat agree 38.3 34.1, 42.5
  Neither agree nor disagree 22.9 19.3, 26.5
  Somewhat disagree 10.7 8.0, 13.9
  Strongly disagree 2.2 1.1, 4.0
  Do not know 5.1 3.3, 7.6
C Supervisors Strongly agree 19.6 12.7, 28.1
  Somewhat agree 33.0 25.2, 40.8
  Neither agree nor disagree 27.3 19.4, 35.2
  Somewhat disagree 15.5 9.3, 23.5
  Strongly disagree 3.4 0.9, 8.7
  Do not know 1.3 0.1, 5.5
D Corporation Finance Strongly agree 11.3 5.0, 21.0
  Somewhat agree 32.4 21.8, 44.5
  Neither agree nor disagree 26.8 16.9, 38.6
  Somewhat disagree 14.1 7.0, 24.4
  Strongly disagree 5.6 1.6, 13.8
  Do not know 9.9 4.1, 19.3
E Division of Economic and Risk Analysis Strongly agree . Data Not Reported
  Somewhat agree . Data Not Reported
  Neither agree nor disagree 19.4 8.2, 36.0
  Somewhat disagree 0.0 0.0, 8.0
  Strongly disagree 5.6 0.7, 18.7
  Do not know 5.6 0.7, 18.7
F Enforcement Strongly agree 24.8 18.8, 30.9
  Somewhat agree 32.4 25.9, 39.0
  Neither agree nor disagree 23.8 17.3, 31.4
  Somewhat disagree 11.0 6.6, 17.1
  Strongly disagree 2.7 0.7, 6.6
  Do not know 5.2 2.2, 10.0
G Investment Management Strongly agree 16.7 7.0, 31.4
  Somewhat agree . Data Not Reported
  Neither agree nor disagree 28.6 15.7, 44.6
  Somewhat disagree 14.3 5.4, 28.5
  Strongly disagree 0.0 0.0, 6.9
  Do not know 2.4 0.1, 12.6
H Office of the Chief Accountant and Office of Credit Ratings Strongly agree 4.3 0.1, 21.9
  Somewhat agree . Data Not Reported
  Neither agree nor disagree . Data Not Reported
  Somewhat disagree . Data Not Reported
  Strongly disagree 0.0 0.0, 12.2
  Do not know 0.0 0.0, 12.2
I Compliance Inspections and Examinations Strongly agree 18.0 12.0, 25.3
  Somewhat agree 42.1 34.1, 50.1
  Neither agree nor disagree 22.8 16.2, 30.6
  Somewhat disagree 14.7 9.2, 21.8
  Strongly disagree 0.4 0.0, 3.9
  Do not know 2.0 0.3, 6.3
J Information Technology Strongly agree 34.1 20.5, 49.9
  Somewhat agree 36.4 22.4, 52.2
  Neither agree nor disagree 25.0 13.2, 40.3
  Somewhat disagree 2.3 0.1, 12.0
  Strongly disagree 2.3 0.1, 12.0
  Do not know 0.0 0.0, 6.6
K Trading and Markets Strongly agree 21.3 10.7, 35.7
  Somewhat agree 38.3 24.5, 53.6
  Neither agree nor disagree 21.3 10.7, 35.7
  Somewhat disagree 6.4 1.3, 17.5
  Strongly disagree 6.4 1.3, 17.5
  Do not know 6.4 1.3, 17.5
L Enforcement Regional Offices Strongly agree 25.0 16.4, 35.4
  Somewhat agree 29.5 21.0, 38.1
  Neither agree nor disagree 27.3 18.3, 37.8
  Somewhat disagree 10.2 4.8, 18.5
  Strongly disagree 3.4 0.7, 9.6
  Do not know 4.5 1.3, 11.2
M Enforcement Headquarters Strongly agree 24.6 14.8, 36.9
  Somewhat agree 36.9 26.9, 47.0
  Neither agree nor disagree 18.5 9.9, 30.0
  Somewhat disagree 12.3 5.5, 22.8
  Strongly disagree 1.5 0.0, 8.3
  Do not know 6.2 1.7, 15.0
N Compliance Inspections and Examinations Regional Offices Strongly agree 15.4 8.2, 25.3
  Somewhat agree 41.0 31.1, 50.9
  Neither agree nor disagree 24.4 15.3, 35.4
  Somewhat disagree 16.7 9.2, 26.8
  Strongly disagree 0.0 0.0, 3.8
  Do not know 2.6 0.3, 9.0
O Compliance Inspections and Examinations Headquarters Strongly agree 27.0 16.6, 39.7
  Somewhat agree 46.0 36.7, 55.3
  Neither agree nor disagree 17.5 9.1, 29.1
  Somewhat disagree 7.9 2.6, 17.6
  Strongly disagree 1.6 0.0, 8.5
  Do not know 0.0 0.0, 4.6

2c. The training I have received over the past three years has provided me skills and experience to meet SEC's needs.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 26.1 22.7, 29.5
  Somewhat agree 45.6 41.7, 49.4
  Neither agree nor disagree 15.9 13.2, 18.6
  Somewhat disagree 8.8 6.6, 11.5
  Strongly disagree 3.4 2.1, 5.3
  Do not know 0.2 0.0, 1.0
B Entry or Mid-Level Non-Supervisors Strongly agree 24.7 21.0, 28.5
  Somewhat agree 45.1 40.8, 49.4
  Neither agree nor disagree 16.5 13.4, 19.6
  Somewhat disagree 10.0 7.4, 13.2
  Strongly disagree 3.4 1.9, 5.6
  Do not know 0.2 0.0, 1.2
C Supervisors Strongly agree 31.4 23.2, 39.7
  Somewhat agree 47.6 38.9, 56.4
  Neither agree nor disagree 13.5 7.7, 21.3
  Somewhat disagree 4.1 1.2, 10.1
  Strongly disagree 3.4 0.9, 8.7
  Do not know 0.0 0.0, 2.7
D Corporation Finance Strongly agree 33.8 24.5, 43.1
  Somewhat agree 45.1 35.3, 54.9
  Neither agree nor disagree 9.9 4.1, 19.3
  Somewhat disagree 7.0 2.3, 15.7
  Strongly disagree 2.8 0.3, 9.8
  Do not know 1.4 0.0, 7.6
E Division of Economic and Risk Analysis Strongly agree 21.6 9.8, 38.2
  Somewhat agree . Data Not Reported
  Neither agree nor disagree . Data Not Reported
  Somewhat disagree 8.1 1.7, 21.9
  Strongly disagree 2.7 0.1, 14.2
  Do not know 0.0 0.0, 7.8
F Enforcement Strongly agree 27.2 20.9, 33.5
  Somewhat agree 47.2 40.2, 54.3
  Neither agree nor disagree 13.7 8.7, 20.2
  Somewhat disagree 10.0 5.7, 15.9
  Strongly disagree 1.9 0.4, 5.6
  Do not know 0.0 0.0, 2.0
G Investment Management Strongly agree 25.6 13.5, 41.2
  Somewhat agree 44.2 33.9, 54.5
  Neither agree nor disagree 23.3 11.8, 38.6
  Somewhat disagree 4.7 0.6, 15.8
  Strongly disagree 2.3 0.1, 12.3
  Do not know 0.0 0.0, 6.7
H Office of the Chief Accountant and Office of Credit Ratings Strongly agree . Data Not Reported
  Somewhat agree . Data Not Reported
  Neither agree nor disagree . Data Not Reported
  Somewhat disagree 4.3 0.1, 21.9
  Strongly disagree 8.7 1.1, 28.0
  Do not know 0.0 0.0, 12.2
I Compliance Inspections and Examinations Strongly agree 23.4 16.6, 31.3
  Somewhat agree 47.2 39.0, 55.4
  Neither agree nor disagree 16.3 10.6, 23.5
  Somewhat disagree 8.9 4.6, 15.2
  Strongly disagree 4.2 1.5, 9.0
  Do not know 0.0 0.0, 2.1
J Information Technology Strongly agree 20.5 9.8, 35.3
  Somewhat agree 50.0 39.6, 60.4
  Neither agree nor disagree 9.1 2.5, 21.7
  Somewhat disagree 9.1 2.5, 21.7
  Strongly disagree 11.4 3.8, 24.6
  Do not know 0.0 0.0, 6.6
K Trading and Markets Strongly agree 21.3 10.7, 35.7
  Somewhat agree 40.4 26.4, 55.7
  Neither agree nor disagree 25.5 13.9, 40.3
  Somewhat disagree 10.6 3.5, 23.1
  Strongly disagree 2.1 0.1, 11.3
  Do not know 0.0 0.0, 6.2
L Enforcement Regional Offices Strongly agree 27.6 18.5, 38.2
  Somewhat agree 49.4 40.0, 58.9
  Neither agree nor disagree 11.5 5.7, 20.1
  Somewhat disagree 10.3 4.8, 18.7
  Strongly disagree 1.1 0.0, 6.2
  Do not know 0.0 0.0, 3.4
M Enforcement Headquarters Strongly agree 26.6 16.3, 39.1
  Somewhat agree 43.7 33.4, 54.1
  Neither agree nor disagree 17.2 8.9, 28.7
  Somewhat disagree 9.4 3.5, 19.3
  Strongly disagree 3.1 0.4, 10.8
  Do not know 0.0 0.0, 4.6
N Compliance Inspections and Examinations Regional Offices Strongly agree 25.0 15.8, 36.3
  Somewhat agree 47.4 37.2, 57.6
  Neither agree nor disagree 14.5 7.5, 24.4
  Somewhat disagree 10.5 4.7, 19.7
  Strongly disagree 2.6 0.3, 9.2
  Do not know 0.0 0.0, 3.9
O Compliance Inspections and Examinations Headquarters Strongly agree 17.7 9.2, 29.5
  Somewhat agree 46.8 37.4, 56.2
  Neither agree nor disagree 22.6 12.9, 35.0
  Somewhat disagree 3.2 0.4, 11.2
  Strongly disagree 9.7 3.6, 19.9
  Do not know 0.0 0.0, 4.7

2d. Management in my division/office needs to do more to address skills gaps.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 13.4 10.9, 15.9
  Somewhat agree 31.2 27.6, 34.8
  Neither agree nor disagree 26.6 23.2, 30.0
  Somewhat disagree 18.0 14.9, 21.0
  Strongly disagree 6.0 4.2, 8.3
  Do not know 4.8 3.2, 6.9
B Entry or Mid-Level Non-Supervisors Strongly agree 13.6 10.5, 17.1
  Somewhat agree 30.3 26.3, 34.2
  Neither agree nor disagree 27.6 23.8, 31.4
  Somewhat disagree 17.5 14.1, 20.9
  Strongly disagree 5.6 3.7, 8.2
  Do not know 5.5 3.6, 8.0
C Supervisors Strongly agree 12.9 7.3, 20.6
  Somewhat agree 34.7 26.4, 43.0
  Neither agree nor disagree 22.9 15.5, 31.8
  Somewhat disagree 19.9 12.9, 28.5
  Strongly disagree 7.4 3.3, 13.9
  Do not know 2.2 0.3, 7.2
D Corporation Finance Strongly agree 12.7 6.0, 22.7
  Somewhat agree 25.4 15.8, 37.1
  Neither agree nor disagree 28.2 18.1, 40.1
  Somewhat disagree 16.9 9.0, 27.7
  Strongly disagree 14.1 7.0, 24.4
  Do not know 2.8 0.3, 9.8
E Division of Economic and Risk Analysis Strongly agree 21.6 9.8, 38.2
  Somewhat agree 18.9 8.0, 35.2
  Neither agree nor disagree 24.3 11.8, 41.2
  Somewhat disagree 18.9 8.0, 35.2
  Strongly disagree 10.8 3.0, 25.4
  Do not know 5.4 0.7, 18.2
F Enforcement Strongly agree 9.1 5.0, 14.8
  Somewhat agree 30.8 24.4, 37.1
  Neither agree nor disagree 27.0 20.8, 33.3
  Somewhat disagree 19.8 13.8, 27.0
  Strongly disagree 6.2 3.0, 11.3
  Do not know 7.2 3.6, 12.5
G Investment Management Strongly agree 14.0 5.3, 27.9
  Somewhat agree 30.2 17.2, 46.1
  Neither agree nor disagree 34.9 21.0, 50.9
  Somewhat disagree 11.6 3.9, 25.1
  Strongly disagree 7.0 1.5, 19.1
  Do not know 2.3 0.1, 12.3
H Office of the Chief Accountant and Office of Credit Ratings Strongly agree 8.7 1.1, 28.0
  Somewhat agree . Data Not Reported
  Neither agree nor disagree . Data Not Reported
  Somewhat disagree . Data Not Reported
  Strongly disagree 4.3 0.1, 21.9
  Do not know 0.0 0.0, 12.2
I Compliance Inspections and Examinations Strongly agree 13.9 8.6, 20.8
  Somewhat agree 35.1 27.3, 42.9
  Neither agree nor disagree 24.4 17.5, 32.4
  Somewhat disagree 19.4 13.1, 27.0
  Strongly disagree 2.8 0.7, 7.1
  Do not know 4.5 1.6, 9.7
J Information Technology Strongly agree 43.2 32.9, 53.5
  Somewhat agree 29.5 16.8, 45.2
  Neither agree nor disagree 18.2 8.2, 32.7
  Somewhat disagree 6.8 1.4, 18.7
  Strongly disagree 2.3 0.1, 12.0
  Do not know 0.0 0.0, 6.6
K Trading and Markets Strongly agree 10.6 3.5, 23.1
  Somewhat agree 40.4 26.4, 55.7
  Neither agree nor disagree 25.5 13.9, 40.3
  Somewhat disagree 14.9 6.2, 28.3
  Strongly disagree 4.3 0.5, 14.5
  Do not know 4.3 0.5, 14.5
L Enforcement Regional Offices Strongly agree 8.0 3.3, 15.7
  Somewhat agree 23.9 15.4, 34.1
  Neither agree nor disagree 29.5 21.0, 38.1
  Somewhat disagree 21.6 13.5, 31.6
  Strongly disagree 10.2 4.8, 18.5
  Do not know 6.8 2.5, 14.3
M Enforcement Headquarters Strongly agree 10.8 4.4, 20.9
  Somewhat agree 41.5 31.3, 51.8
  Neither agree nor disagree 23.1 13.5, 35.2
  Somewhat disagree 16.9 8.8, 28.3
  Strongly disagree 0.0 0.0, 4.5
  Do not know 7.7 2.5, 17.0
N Compliance Inspections and Examinations Regional Offices Strongly agree 13.3 6.6, 23.2
  Somewhat agree 34.7 24.9, 44.5
  Neither agree nor disagree 22.7 13.8, 33.8
  Somewhat disagree 21.3 12.7, 32.3
  Strongly disagree 2.7 0.3, 9.3
  Do not know 5.3 1.5, 13.1
O Compliance Inspections and Examinations Headquarters Strongly agree 15.9 7.9, 27.3
  Somewhat agree 36.5 27.5, 45.5
  Neither agree nor disagree 30.2 19.2, 43.0
  Somewhat disagree 12.7 5.6, 23.5
  Strongly disagree 3.2 0.4, 11.0
  Do not know 1.6 0.0, 8.5

3. For those training opportunities that you have been involved with over the past three years, to what extent, if at all, have the following types of training provided information and knowledge that is directly relevant to your work? (Select one response per item.)

3a. Training provided by the SEC University

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents To a great extent 25.9 22.4, 29.3
  To a moderate extent 39.7 35.9, 43.4
  To a small extent 22.8 19.6, 26.0
  To no extent 4.3 2.8, 6.3
  No basis to judge 5.4 3.7, 7.6
  Do not know 1.9 1.0, 3.5
B Entry or Mid-Level Non-Supervisors To a great extent 26.3 22.4, 30.2
  To a moderate extent 39.6 35.4, 43.8
  To a small extent 21.2 17.8, 24.6
  To no extent 4.7 3.0, 7.1
  No basis to judge 6.1 4.0, 8.7
  Do not know 2.1 1.0, 4.0
C Supervisors To a great extent 24.2 16.6, 33.1
  To a moderate extent 40.1 31.6, 48.5
  To a small extent 29.1 21.1, 37.0
  To no extent 2.6 0.5, 7.5
  No basis to judge 2.9 0.7, 7.8
  Do not know 1.2 0.1, 5.6
D Corporation Finance To a great extent 19.7 11.2, 30.9
  To a moderate extent 36.6 27.1, 46.1
  To a small extent 22.5 13.5, 34.0
  To no extent 8.5 3.2, 17.5
  No basis to judge 8.5 3.2, 17.5
  Do not know 4.2 0.9, 11.9
E Division of Economic and Risk Analysis To a great extent 18.9 8.0, 35.2
  To a moderate extent . Data Not Reported
  To a small extent . Data Not Reported
  To no extent 2.7 0.1, 14.2
  No basis to judge 8.1 1.7, 21.9
  Do not know 5.4 0.7, 18.2
F Enforcement To a great extent 31.4 24.9, 37.9
  To a moderate extent 36.8 30.1, 43.5
  To a small extent 17.8 12.1, 24.8
  To no extent 4.7 1.9, 9.3
  No basis to judge 6.7 3.3, 11.8
  Do not know 2.7 0.7, 6.6
G Investment Management To a great extent 14.6 5.6, 29.2
  To a moderate extent . Data Not Reported
  To a small extent 24.4 12.4, 40.3
  To no extent 0.0 0.0, 7.0
  No basis to judge 4.9 0.6, 16.5
  Do not know 0.0 0.0, 7.0
H Office of the Chief Accountant and Office of Credit Ratings To a great extent . Data Not Reported
  To a moderate extent . Data Not Reported
  To a small extent . Data Not Reported
  To no extent 4.3 0.1, 21.9
  No basis to judge 0.0 0.0, 12.2
  Do not know 0.0 0.0, 12.2
I Compliance Inspections and Examinations To a great extent 27.0 19.7, 34.2
  To a moderate extent 41.0 33.0, 48.9
  To a small extent 25.1 18.3, 31.9
  To no extent 3.0 0.9, 7.3
  No basis to judge 3.0 0.8, 7.7
  Do not know 1.0 0.0, 4.7
J Information Technology To a great extent 22.7 11.5, 37.8
  To a moderate extent . Data Not Reported
  To a small extent 27.3 15.0, 42.8
  To no extent 6.8 1.4, 18.7
  No basis to judge 4.5 0.6, 15.5
  Do not know 0.0 0.0, 6.6
K Trading and Markets To a great extent 20.8 10.5, 35.0
  To a moderate extent 47.9 37.3, 58.5
  To a small extent 22.9 12.0, 37.3
  To no extent 2.1 0.1, 11.1
  No basis to judge 6.3 1.3, 17.2
  Do not know 0.0 0.0, 6.1
L Enforcement Regional Offices To a great extent 31.8 23.0, 40.6
  To a moderate extent 31.8 23.0, 40.6
  To a small extent 19.3 11.7, 29.1
  To no extent 5.7 1.9, 12.8
  No basis to judge 8.0 3.3, 15.7
  Do not know 3.4 0.7, 9.6
M Enforcement Headquarters To a great extent 30.8 19.9, 43.4
  To a moderate extent 44.6 34.3, 54.9
  To a small extent 15.4 7.6, 26.5
  To no extent 3.1 0.4, 10.7
  No basis to judge 4.6 1.0, 12.9
  Do not know 1.5 0.0, 8.3
N Compliance Inspections and Examinations Regional Offices To a great extent 27.8 18.3, 39.1
  To a moderate extent 41.8 31.9, 51.7
  To a small extent 22.8 14.1, 33.6
  To no extent 2.5 0.3, 8.8
  No basis to judge 3.8 0.8, 10.7
  Do not know 1.3 0.0, 6.9
O Compliance Inspections and Examinations Headquarters To a great extent 23.8 14.0, 36.2
  To a moderate extent 38.1 29.0, 47.2
  To a small extent 33.3 22.0, 46.3
  To no extent 4.8 1.0, 13.3
  No basis to judge 0.0 0.0, 4.6
  Do not know 0.0 0.0, 4.6

3b. External training or conferences

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents To a great extent 21.0 17.9, 24.1
  To a moderate extent 28.6 25.1, 32.0
  To a small extent 18.6 15.6, 21.6
  To no extent 9.4 7.1, 12.2
  No basis to judge 18.9 15.8, 21.9
  Do not know 3.5 2.2, 5.4
B Entry or Mid-Level Non-Supervisors To a great extent 20.2 16.8, 23.7
  To a moderate extent 29.9 25.9, 33.8
  To a small extent 17.6 14.4, 20.8
  To no extent 9.2 6.7, 12.3
  No basis to judge 18.8 15.4, 22.2
  Do not know 4.3 2.6, 6.6
C Supervisors To a great extent 24.0 16.4, 32.9
  To a moderate extent 23.5 16.0, 32.4
  To a small extent 22.7 15.3, 31.5
  To no extent 10.3 5.4, 17.4
  No basis to judge 19.1 12.3, 27.5
  Do not know 0.5 0.0, 4.8
D Corporation Finance To a great extent 20.8 12.2, 32.0
  To a moderate extent 23.6 14.4, 35.1
  To a small extent 20.8 12.2, 32.0
  To no extent 6.9 2.3, 15.5
  No basis to judge 20.8 12.2, 32.0
  Do not know 6.9 2.3, 15.5
E Division of Economic and Risk Analysis To a great extent . Data Not Reported
  To a moderate extent 21.6 9.8, 38.2
  To a small extent 21.6 9.8, 38.2
  To no extent 10.8 3.0, 25.4
  No basis to judge 8.1 1.7, 21.9
  Do not know 2.7 0.1, 14.2
F Enforcement To a great extent 20.0 13.9, 27.2
  To a moderate extent 31.7 25.1, 38.2
  To a small extent 17.8 12.1, 24.8
  To no extent 9.1 5.0, 14.8
  No basis to judge 19.6 13.7, 26.8
  Do not know 1.9 0.4, 5.5
G Investment Management To a great extent 21.4 10.3, 36.8
  To a moderate extent 28.6 15.7, 44.6
  To a small extent 16.7 7.0, 31.4
  To no extent 11.9 4.0, 25.6
  No basis to judge 14.3 5.4, 28.5
  Do not know 7.1 1.5, 19.5
H Office of the Chief Accountant and Office of Credit Ratings To a great extent . Data Not Reported
  To a moderate extent . Data Not Reported
  To a small extent . Data Not Reported
  To no extent 0.0 0.0, 12.2
  No basis to judge 4.3 0.1, 21.9
  Do not know 0.0 0.0, 12.2
I Compliance Inspections and Examinations To a great extent 19.1 13.0, 26.6
  To a moderate extent 26.5 19.4, 33.6
  To a small extent 18.4 12.4, 25.8
  To no extent 11.4 6.6, 17.8
  No basis to judge 20.0 13.7, 27.6
  Do not know 4.7 1.8, 9.6
J Information Technology To a great extent 21.4 10.3, 36.8
  To a moderate extent 19.0 8.6, 34.1
  To a small extent 21.4 10.3, 36.8
  To no extent 9.5 2.7, 22.6
  No basis to judge 28.6 15.7, 44.6
  Do not know 0.0 0.0, 6.9
K Trading and Markets To a great extent 29.2 17.0, 44.1
  To a moderate extent 37.5 24.0, 52.6
  To a small extent 10.4 3.5, 22.7
  To no extent 8.3 2.3, 20.0
  No basis to judge 12.5 4.7, 25.2
  Do not know 2.1 0.1, 11.1
L Enforcement Regional Offices To a great extent 23.9 15.4, 34.1
  To a moderate extent 35.2 26.2, 44.2
  To a small extent 19.3 11.7, 29.1
  To no extent 8.0 3.3, 15.7
  No basis to judge 12.5 6.4, 21.3
  Do not know 1.1 0.0, 6.2
M Enforcement Headquarters To a great extent 13.8 6.5, 24.7
  To a moderate extent 26.2 16.0, 38.5
  To a small extent 15.4 7.6, 26.5
  To no extent 10.8 4.4, 20.9
  No basis to judge 30.8 19.9, 43.4
  Do not know 3.1 0.4, 10.7
N Compliance Inspections and Examinations Regional Offices To a great extent 17.7 10.0, 27.9
  To a moderate extent 25.3 16.2, 36.4
  To a small extent 19.0 11.0, 29.4
  To no extent 11.4 5.3, 20.5
  No basis to judge 21.5 13.1, 32.2
  Do not know 5.1 1.4, 12.5
O Compliance Inspections and Examinations Headquarters To a great extent 24.2 14.2, 36.7
  To a moderate extent 30.6 19.6, 43.7
  To a small extent 16.1 8.0, 27.7
  To no extent 11.3 4.7, 21.9
  No basis to judge 14.5 6.9, 25.8
  Do not know 3.2 0.4, 11.2

3c. Computer-based training delivered by Internet

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents To a great extent 13.9 11.1, 16.7
  To a moderate extent 38.5 34.7, 42.3
  To a small extent 28.5 25.0, 31.9
  To no extent 8.9 6.6, 11.5
  No basis to judge 8.0 5.8, 10.5
  Do not know 2.3 1.2, 3.9
B Entry or Mid-Level Non-Supervisors To a great extent 15.4 12.1, 18.6
  To a moderate extent 36.9 32.7, 41.1
  To a small extent 27.9 24.0, 31.7
  To no extent 9.2 6.7, 12.3
  No basis to judge 8.0 5.7, 11.0
  Do not know 2.6 1.3, 4.6
C Supervisors To a great extent 8.2 3.7, 15.1
  To a moderate extent 44.8 36.1, 53.5
  To a small extent 30.8 22.8, 38.9
  To no extent 7.6 3.4, 14.1
  No basis to judge 7.7 3.5, 14.2
  Do not know 1.0 0.0, 5.1
D Corporation Finance To a great extent 12.9 6.1, 23.0
  To a moderate extent 32.9 22.1, 45.1
  To a small extent 27.1 17.2, 39.1
  To no extent 10.0 4.1, 19.5
  No basis to judge 12.9 6.1, 23.0
  Do not know 4.3 0.9, 12.0
E Division of Economic and Risk Analysis To a great extent 10.8 3.0, 25.4
  To a moderate extent . Data Not Reported
  To a small extent 21.6 9.8, 38.2
  To no extent 21.6 9.8, 38.2
  No basis to judge 8.1 1.7, 21.9
  Do not know 10.8 3.0, 25.4
F Enforcement To a great extent 13.4 8.4, 19.9
  To a moderate extent 42.3 35.3, 49.3
  To a small extent 29.6 23.2, 36.1
  To no extent 7.3 3.7, 12.7
  No basis to judge 6.0 2.8, 11.1
  Do not know 1.3 0.2, 4.7
G Investment Management To a great extent 4.9 0.6, 16.5
  To a moderate extent . Data Not Reported
  To a small extent 24.4 12.4, 40.3
  To no extent 22.0 10.6, 37.6
  No basis to judge 4.9 0.6, 16.5
  Do not know 0.0 0.0, 7.0
H Office of the Chief Accountant and Office of Credit Ratings To a great extent 8.7 1.1, 28.0
  To a moderate extent . Data Not Reported
  To a small extent . Data Not Reported
  To no extent 4.3 0.1, 21.9
  No basis to judge 8.7 1.1, 28.0
  Do not know 0.0 0.0, 12.2
I Compliance Inspections and Examinations To a great extent 19.3 13.2, 26.8
  To a moderate extent 37.4 29.6, 45.2
  To a small extent 26.3 19.2, 33.5
  To no extent 7.3 3.6, 12.9
  No basis to judge 8.7 4.6, 14.5
  Do not know 1.0 0.0, 4.7
J Information Technology To a great extent 9.1 2.5, 21.7
  To a moderate extent 43.2 32.9, 53.5
  To a small extent 27.3 15.0, 42.8
  To no extent 9.1 2.5, 21.7
  No basis to judge 6.8 1.4, 18.7
  Do not know 4.5 0.6, 15.5
K Trading and Markets To a great extent 6.3 1.3, 17.2
  To a moderate extent 37.5 24.0, 52.6
  To a small extent 33.3 20.4, 48.4
  To no extent 8.3 2.3, 20.0
  No basis to judge 8.3 2.3, 20.0
  Do not know 6.3 1.3, 17.2
L Enforcement Regional Offices To a great extent 14.9 8.2, 24.2
  To a moderate extent 41.4 32.1, 50.7
  To a small extent 27.6 18.5, 38.2
  To no extent 8.0 3.3, 15.9
  No basis to judge 6.9 2.6, 14.4
  Do not know 1.1 0.0, 6.2
M Enforcement Headquarters To a great extent 10.9 4.5, 21.2
  To a moderate extent 43.7 33.4, 54.1
  To a small extent 32.8 21.6, 45.7
  To no extent 6.2 1.7, 15.2
  No basis to judge 4.7 1.0, 13.1
  Do not know 1.6 0.0, 8.4
N Compliance Inspections and Examinations Regional Offices To a great extent 19.0 11.0, 29.4
  To a moderate extent 36.7 27.0, 46.4
  To a small extent 26.6 17.3, 37.7
  To no extent 7.6 2.8, 15.8
  No basis to judge 8.9 3.6, 17.4
  Do not know 1.3 0.0, 6.9
O Compliance Inspections and Examinations Headquarters To a great extent 20.6 11.5, 32.7
  To a moderate extent 39.7 30.5, 48.8
  To a small extent 25.4 15.3, 37.9
  To no extent 6.3 1.8, 15.5
  No basis to judge 7.9 2.6, 17.6
  Do not know 0.0 0.0, 4.6

4. Have there been opportunities over the past three years for you to participate in training that provided the latest industry specific knowledge relevant to your job with outside instructors who are experts in the field?

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Yes 76.3 73.1, 79.5
  No 17.8 14.9, 20.7
  Do not know 5.9 4.1, 8.2
B Entry or Mid-Level Non-Supervisors Yes 76.4 72.8, 80.0
  No 17.7 14.4, 20.9
  Do not know 5.9 3.9, 8.5
C Supervisors Yes 75.9 67.0, 83.4
  No 18.2 11.6, 26.5
  Do not know 5.9 2.4, 11.9
D Corporation Finance Yes 80.6 69.5, 88.9
  No 18.1 10.0, 28.9
  Do not know 1.4 0.0, 7.5
E Division of Economic and Risk Analysis Yes . Data Not Reported
  No 16.2 6.2, 32.0
  Do not know 16.2 6.2, 32.0
F Enforcement Yes 77.8 70.4, 84.1
  No 15.7 10.3, 22.5
  Do not know 6.5 3.1, 11.6
G Investment Management Yes 67.4 51.5, 80.9
  No 23.3 11.8, 38.6
  Do not know 9.3 2.6, 22.1
H Office of the Chief Accountant and Office of Credit Ratings Yes . Data Not Reported
  No . Data Not Reported
  Do not know . Data Not Reported
I Compliance Inspections and Examinations Yes 79.3 71.7, 85.6
  No 15.6 10.1, 22.7
  Do not know 5.1 2.1, 10.1
J Information Technology Yes 50.0 39.6, 60.4
  No 45.5 35.1, 55.8
  Do not know 4.5 0.6, 15.5
K Trading and Markets Yes 81.3 67.4, 91.1
  No 12.5 4.7, 25.2
  Do not know 6.3 1.3, 17.2
L Enforcement Regional Offices Yes 78.4 68.4, 86.5
  No 15.9 9.0, 25.2
  Do not know 5.7 1.9, 12.8
M Enforcement Headquarters Yes 76.9 64.8, 86.5
  No 15.4 7.6, 26.5
  Do not know 7.7 2.5, 17.0
N Compliance Inspections and Examinations Regional Offices Yes 79.7 69.2, 88.0
  No 16.5 9.1, 26.5
  Do not know 3.8 0.8, 10.7
O Compliance Inspections and Examinations Headquarters Yes 77.8 65.5, 87.3
  No 12.7 5.6, 23.5
  Do not know 9.5 3.6, 19.6

5. In general, how adequate is the number of training opportunities that provide the latest industry specific knowledge relevant to your job with outside instructors who are experts in the field?

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents More than adequate 15.0 12.2, 17.9
  Adequate 48.4 44.6, 52.3
  Less than adequate 31.3 27.7, 34.8
  Do not know 5.3 3.6, 7.5
B Entry or Mid-Level Non-Supervisors More than adequate 15.6 12.4, 18.8
  Adequate 47.3 43.0, 51.6
  Less than adequate 31.7 27.7, 35.7
  Do not know 5.4 3.5, 7.9
C Supervisors More than adequate 13.0 7.4, 20.6
  Adequate 52.6 44.0, 61.2
  Less than adequate 29.5 21.9, 37.1
  Do not know 4.8 1.7, 10.6
D Corporation Finance More than adequate 15.5 8.0, 26.0
  Adequate 46.5 36.7, 56.3
  Less than adequate 33.8 24.5, 43.1
  Do not know 4.2 0.9, 11.9
E Division of Economic and Risk Analysis More than adequate 10.8 3.0, 25.4
  Adequate 48.6 38.6, 58.7
  Less than adequate . Data Not Reported
  Do not know 10.8 3.0, 25.4
F Enforcement More than adequate 19.1 13.2, 26.3
  Adequate 46.5 39.5, 53.5
  Less than adequate 28.6 22.3, 34.9
  Do not know 5.8 2.7, 10.8
G Investment Management More than adequate 14.0 5.3, 27.9
  Adequate 51.2 40.8, 61.5
  Less than adequate 30.2 17.2, 46.1
  Do not know 4.7 0.6, 15.8
H Office of the Chief Accountant and Office of Credit Ratings More than adequate 4.3 0.1, 21.9
  Adequate . Data Not Reported
  Less than adequate . Data Not Reported
  Do not know 0.0 0.0, 12.2
I Compliance Inspections and Examinations More than adequate 14.4 9.0, 21.2
  Adequate 51.3 43.2, 59.4
  Less than adequate 29.3 22.0, 36.7
  Do not know 5.0 2.0, 10.0
J Information Technology More than adequate 4.5 0.6, 15.5
  Adequate 34.1 20.5, 49.9
  Less than adequate 54.5 44.2, 64.9
  Do not know 6.8 1.4, 18.7
K Trading and Markets More than adequate 10.4 3.5, 22.7
  Adequate 50.0 39.4, 60.6
  Less than adequate 35.4 22.2, 50.5
  Do not know 4.2 0.5, 14.3
L Enforcement Regional Offices More than adequate 19.5 11.8, 29.4
  Adequate 51.7 42.3, 61.2
  Less than adequate 24.1 15.6, 34.5
  Do not know 4.6 1.3, 11.4
M Enforcement Headquarters More than adequate 18.5 9.9, 30.0
  Adequate 38.5 28.4, 48.6
  Less than adequate 35.4 25.4, 45.3
  Do not know 7.7 2.5, 17.0
N Compliance Inspections and Examinations Regional Offices More than adequate 13.9 7.2, 23.5
  Adequate 51.9 41.9, 61.9
  Less than adequate 29.1 19.4, 40.4
  Do not know 5.1 1.4, 12.5
O Compliance Inspections and Examinations Headquarters More than adequate 15.9 7.9, 27.3
  Adequate 49.2 39.9, 58.5
  Less than adequate 30.2 19.2, 43.0
  Do not know 4.8 1.0, 13.3

6. Over the past three years, how many times have you taken part in training that provided the latest industry specific knowledge relevant to your job that included outside instructors who are experts in the field?

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Never 13.8 11.2, 16.4
  Once or twice 45.1 41.2, 48.9
  Three or more times 37.4 33.6, 41.1
  Do not know 3.8 2.4, 5.7
B Entry or Mid-Level Non-Supervisors Never 13.6 10.6, 17.2
  Once or twice 44.9 40.6, 49.2
  Three or more times 37.9 33.7, 42.1
  Do not know 3.5 2.0, 5.6
C Supervisors Never 14.4 8.4, 22.2
  Once or twice 45.7 37.0, 54.4
  Three or more times 35.1 26.8, 43.3
  Do not know 4.9 1.7, 10.7
D Corporation Finance Never 16.7 8.9, 27.3
  Once or twice 37.5 28.0, 47.0
  Three or more times 40.3 30.7, 49.9
  Do not know 5.6 1.5, 13.6
E Division of Economic and Risk Analysis Never 13.9 4.7, 29.5
  Once or twice . Data Not Reported
  Three or more times . Data Not Reported
  Do not know 8.3 1.8, 22.5
F Enforcement Never 14.1 9.0, 20.7
  Once or twice 46.2 39.2, 53.2
  Three or more times 37.0 30.2, 43.8
  Do not know 2.7 0.7, 6.6
G Investment Management Never 16.3 6.8, 30.7
  Once or twice . Data Not Reported
  Three or more times 32.6 19.1, 48.5
  Do not know 11.6 3.9, 25.1
H Office of the Chief Accountant and Office of Credit Ratings Never 8.7 1.1, 28.0
  Once or twice . Data Not Reported
  Three or more times . Data Not Reported
  Do not know 4.3 0.1, 21.9
I Compliance Inspections and Examinations Never 10.1 5.6, 16.3
  Once or twice 46.6 38.5, 54.7
  Three or more times 41.0 33.1, 49.0
  Do not know 2.3 0.5, 6.5
J Information Technology Never 25.0 13.2, 40.3
  Once or twice 52.3 41.9, 62.6
  Three or more times 18.2 8.2, 32.7
  Do not know 4.5 0.6, 15.5
K Trading and Markets Never 15.2 6.3, 28.9
  Once or twice 45.7 34.9, 56.4
  Three or more times 34.8 21.4, 50.2
  Do not know 4.3 0.5, 14.8
L Enforcement Regional Offices Never 11.4 5.6, 19.9
  Once or twice 51.1 41.7, 60.5
  Three or more times 34.1 25.2, 43.0
  Do not know 3.4 0.7, 9.6
M Enforcement Headquarters Never 18.5 9.9, 30.0
  Once or twice 38.5 28.4, 48.6
  Three or more times 41.5 31.3, 51.8
  Do not know 1.5 0.0, 8.3
N Compliance Inspections and Examinations Regional Offices Never 10.1 4.5, 19.0
  Once or twice 48.1 38.1, 58.1
  Three or more times 39.2 29.5, 49.0
  Do not know 2.5 0.3, 8.8
O Compliance Inspections and Examinations Headquarters Never 9.8 3.7, 20.2
  Once or twice 41.0 31.6, 50.3
  Three or more times 47.5 38.1, 57.0
  Do not know 1.6 0.0, 8.8

7. With respect to the hiring freeze that began in January of 2017, what effect, if any, has the hiring freeze had on your workload?

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Positive effect 0.4 0.1, 1.4
  No effect 19.6 16.5, 22.7
  Negative effect 65.7 62.0, 69.4
  No basis to judge 10.6 8.2, 13.4
  Do not know 3.7 2.3, 5.6
B Entry or Mid-Level Non-Supervisors Positive effect 0.5 0.1, 1.7
  No effect 19.7 16.3, 23.1
  Negative effect 63.3 59.2, 67.5
  No basis to judge 12.0 9.1, 15.3
  Do not know 4.5 2.8, 6.9
C Supervisors Positive effect 0.0 0.0, 2.6
  No effect 19.2 12.4, 27.7
  Negative effect 75.0 66.0, 82.7
  No basis to judge 5.2 1.9, 11.1
  Do not know 0.5 0.0, 4.8
D Corporation Finance Positive effect 0.0 0.0, 4.1
  No effect 21.1 12.3, 32.4
  Negative effect 64.8 55.4, 74.2
  No basis to judge 11.3 5.0, 21.0
  Do not know 2.8 0.3, 9.8
E Division of Economic and Risk Analysis Positive effect 2.7 0.1, 14.2
  No effect 13.5 4.5, 28.8
  Negative effect . Data Not Reported
  No basis to judge 8.1 1.7, 21.9
  Do not know 8.1 1.7, 21.9
F Enforcement Positive effect 0.6 0.0, 3.6
  No effect 19.9 13.9, 27.1
  Negative effect 67.0 60.4, 73.5
  No basis to judge 8.5 4.6, 14.1
  Do not know 4.0 1.5, 8.4
G Investment Management Positive effect 0.0 0.0, 6.7
  No effect 18.6 8.4, 33.4
  Negative effect 67.4 51.5, 80.9
  No basis to judge 4.7 0.6, 15.8
  Do not know 9.3 2.6, 22.1
H Office of the Chief Accountant and Office of Credit Ratings Positive effect 0.0 0.0, 12.2
  No effect . Data Not Reported
  Negative effect . Data Not Reported
  No basis to judge 8.7 1.1, 28.0
  Do not know 4.3 0.1, 21.9
I Compliance Inspections and Examinations Positive effect 0.3 0.0, 3.9
  No effect 21.7 15.2, 29.4
  Negative effect 62.3 54.5, 70.2
  No basis to judge 12.3 7.4, 18.9
  Do not know 3.3 1.0, 7.9
J Information Technology Positive effect 0.0 0.0, 6.7
  No effect 9.3 2.6, 22.1
  Negative effect 69.8 53.9, 82.8
  No basis to judge 20.9 10.0, 36.0
  Do not know 0.0 0.0, 6.7
K Trading and Markets Positive effect 0.0 0.0, 6.2
  No effect 17.0 7.6, 30.8
  Negative effect 70.2 55.1, 82.7
  No basis to judge 10.6 3.5, 23.1
  Do not know 2.1 0.1, 11.3
L Enforcement Regional Offices Positive effect 0.0 0.0, 3.3
  No effect 15.9 9.0, 25.2
  Negative effect 70.5 61.9, 79.0
  No basis to judge 9.1 4.0, 17.1
  Do not know 4.5 1.3, 11.2
M Enforcement Headquarters Positive effect 1.5 0.0, 8.3
  No effect 26.2 16.0, 38.5
  Negative effect 61.5 51.4, 71.6
  No basis to judge 7.7 2.5, 17.0
  Do not know 3.1 0.4, 10.7
N Compliance Inspections and Examinations Regional Offices Positive effect 0.0 0.0, 3.7
  No effect 21.5 13.1, 32.2
  Negative effect 62.0 52.3, 71.8
  No basis to judge 12.7 6.2, 22.0
  Do not know 3.8 0.8, 10.7
O Compliance Inspections and Examinations Headquarters Positive effect 1.6 0.0, 8.5
  No effect 22.2 12.7, 34.5
  Negative effect 63.5 54.5, 72.5
  No basis to judge 11.1 4.6, 21.6
  Do not know 1.6 0.0, 8.5

a. How large of a positive effect has the hiring freeze had on your workload?

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
Those Answering Positive Effect to Q07 Large positive effect . Data Not Reported
  Moderate positive effect . Data Not Reported
  Small positive effect . Data Not Reported
  No opinion . Data Not Reported

a. How large of a negative effect has the hiring freeze had on your workload?

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A Those Answering Negative Effect to Q07 Large negative effect 37.7 33.1, 42.2
  Moderate negative effect 50.2 45.5, 55.0
  Small negative effect 11.5 8.4, 15.2
  No opinion 0.6 0.1, 2.2
B Entry or Mid-Level Non-Supervisors Large negative effect 35.3 30.2, 40.3
  Moderate negative effect 52.1 46.7, 57.4
  Small negative effect 11.8 8.3, 16.2
  No opinion 0.8 0.1, 2.9
C Supervisors Large negative effect 45.5 35.8, 55.3
  Moderate negative effect 44.2 34.3, 54.1
  Small negative effect 10.3 4.6, 19.1
  No opinion 0.0 0.0, 3.4
D Corporation Finance Large negative effect 41.3 27.0, 56.8
  Moderate negative effect 41.3 27.0, 56.8
  Small negative effect 17.4 7.8, 31.4
  No opinion 0.0 0.0, 6.3
E Division of Economic and Risk Analysis Large negative effect . Data Not Reported
  Moderate negative effect . Data Not Reported
  Small negative effect . Data Not Reported
  No opinion 0.0 0.0, 11.3
F Enforcement Large negative effect 35.4 27.1, 43.7
  Moderate negative effect 54.2 45.7, 62.7
  Small negative effect 10.4 5.2, 18.0
  No opinion 0.0 0.0, 2.9
G Investment Management Large negative effect . Data Not Reported
  Moderate negative effect . Data Not Reported
  Small negative effect 13.8 3.9, 31.7
  No opinion 3.4 0.1, 17.8
H Office of the Chief Accountant and Office of Credit Ratings Large negative effect . Data Not Reported
  Moderate negative effect . Data Not Reported
  Small negative effect . Data Not Reported
  No opinion 0.0 0.0, 17.1
I Compliance Inspections and Examinations Large negative effect 32.7 23.2, 42.2
  Moderate negative effect 54.0 43.8, 64.1
  Small negative effect 11.7 5.9, 20.3
  No opinion 1.6 0.1, 7.5
J Information Technology Large negative effect . Data Not Reported
  Moderate negative effect . Data Not Reported
  Small negative effect 3.3 0.1, 17.2
  No opinion 0.0 0.0, 9.5
K Trading and Markets Large negative effect . Data Not Reported
  Moderate negative effect . Data Not Reported
  Small negative effect 3.0 0.1, 15.8
  No opinion 0.0 0.0, 8.7
L Enforcement Regional Offices Large negative effect 32.8 21.3, 46.0
  Moderate negative effect 62.3 51.3, 73.3
  Small negative effect 4.9 1.0, 13.7
  No opinion 0.0 0.0, 4.8
M Enforcement Headquarters Large negative effect . Data Not Reported
  Moderate negative effect . Data Not Reported
  Small negative effect 20.0 9.1, 35.6
  No opinion 0.0 0.0, 7.2
N Compliance Inspections and Examinations Regional Offices Large negative effect 30.6 18.3, 45.4
  Moderate negative effect 55.1 42.4, 67.8
  Small negative effect 12.2 4.6, 24.8
  No opinion 2.0 0.1, 10.9
O Compliance Inspections and Examinations Headquarters Large negative effect . Data Not Reported
  Moderate negative effect 50.0 38.3, 61.7
  Small negative effect 10.0 2.8, 23.7
  No opinion 0.0 0.0, 7.2

8. With respect to the hiring freeze that began in January of 2017, what effect, if any, has the hiring freeze had on your division/office's ability to meet its mission?

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Positive effect 0.5 0.1, 1.7
  No effect 11.6 9.1, 14.1
  Negative effect 65.3 61.7, 68.9
  No basis to judge 13.8 11.2, 16.5
  Do not know 8.7 6.5, 11.4
B Entry or Mid-Level Non-Supervisors Positive effect 0.7 0.1, 2.1
  No effect 11.0 8.3, 14.3
  Negative effect 62.5 58.4, 66.6
  No basis to judge 16.1 12.9, 19.3
  Do not know 9.8 7.2, 12.9
C Supervisors Positive effect 0.0 0.0, 2.6
  No effect 13.9 7.9, 22.0
  Negative effect 76.4 67.5, 83.9
  No basis to judge 5.0 1.8, 10.8
  Do not know 4.7 1.6, 10.5
D Corporation Finance Positive effect 0.0 0.0, 4.1
  No effect 21.1 12.3, 32.4
  Negative effect 46.5 36.7, 56.3
  No basis to judge 19.7 11.2, 30.9
  Do not know 12.7 6.0, 22.7
E Division of Economic and Risk Analysis Positive effect 0.0 0.0, 7.8
  No effect 0.0 0.0, 7.8
  Negative effect 75.7 58.8, 88.2
  No basis to judge 10.8 3.0, 25.4
  Do not know 13.5 4.5, 28.8
F Enforcement Positive effect 0.6 0.0, 3.6
  No effect 9.0 5.0, 14.7
  Negative effect 75.3 69.2, 81.3
  No basis to judge 7.2 3.6, 12.5
  Do not know 7.9 4.1, 13.4
G Investment Management Positive effect 0.0 0.0, 6.7
  No effect 11.6 3.9, 25.1
  Negative effect 51.2 40.8, 61.5
  No basis to judge 16.3 6.8, 30.7
  Do not know 20.9 10.0, 36.0
H Office of the Chief Accountant and Office of Credit Ratings Positive effect 0.0 0.0, 12.2
  No effect . Data Not Reported
  Negative effect . Data Not Reported
  No basis to judge 8.7 1.1, 28.0
  Do not know 0.0 0.0, 12.2
I Compliance Inspections and Examinations Positive effect 1.0 0.0, 4.7
  No effect 13.7 8.5, 20.4
  Negative effect 62.4 54.5, 70.3
  No basis to judge 16.3 10.6, 23.4
  Do not know 6.7 3.2, 12.1
J Information Technology Positive effect 0.0 0.0, 6.9
  No effect 4.8 0.6, 16.2
  Negative effect 69.0 52.9, 82.4
  No basis to judge 21.4 10.3, 36.8
  Do not know 4.8 0.6, 16.2
K Trading and Markets Positive effect 0.0 0.0, 6.1
  No effect 6.3 1.3, 17.2
  Negative effect 60.4 45.3, 74.2
  No basis to judge 22.9 12.0, 37.3
  Do not know 10.4 3.5, 22.7
L Enforcement Regional Offices Positive effect 0.0 0.0, 3.3
  No effect 6.8 2.5, 14.3
  Negative effect 78.4 68.4, 86.5
  No basis to judge 6.8 2.5, 14.3
  Do not know 8.0 3.3, 15.7
M Enforcement Headquarters Positive effect 1.6 0.0, 8.4
  No effect 12.5 5.6, 23.2
  Negative effect 70.3 57.6, 81.1
  No basis to judge 7.8 2.6, 17.3
  Do not know 7.8 2.6, 17.3
N Compliance Inspections and Examinations Regional Offices Positive effect 1.3 0.0, 6.9
  No effect 13.9 7.2, 23.5
  Negative effect 60.8 51.0, 70.5
  No basis to judge 17.7 10.0, 27.9
  Do not know 6.3 2.1, 14.2
O Compliance Inspections and Examinations Headquarters Positive effect 0.0 0.0, 4.6
  No effect 12.7 5.6, 23.5
  Negative effect 68.3 55.3, 79.4
  No basis to judge 11.1 4.6, 21.6
  Do not know 7.9 2.6, 17.6

a. How large of a positive effect has the hiring freeze had on your division/office's ability to meet its mission?

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
Those Answering Positive Effect to Q08 Large positive effect . Data Not Reported
  Moderate positive effect . Data Not Reported
  Small positive effect . Data Not Reported
  No opinion . Data Not Reported

a. How large of a negative effect has the hiring freeze had on your division/office's ability to meet its mission?

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A Those Answering Negative Effect to Q08 Large negative effect 34.2 29.6, 38.8
  Moderate negative effect 48.9 44.1, 53.7
  Small negative effect 14.4 11.0, 18.5
  No opinion 2.5 1.1, 4.7
B Entry or Mid-Level Non-Supervisors Large negative effect 36.0 30.7, 41.3
  Moderate negative effect 47.8 42.3, 53.3
  Small negative effect 12.9 9.2, 17.5
  No opinion 3.2 1.5, 6.2
C Supervisors Large negative effect 28.4 19.3, 39.1
  Moderate negative effect 52.4 42.6, 62.3
  Small negative effect 19.1 11.5, 29.0
  No opinion 0.0 0.0, 3.4
D Corporation Finance Large negative effect . Data Not Reported
  Moderate negative effect . Data Not Reported
  Small negative effect 12.1 3.4, 28.2
  No opinion 0.0 0.0, 8.7
E Division of Economic and Risk Analysis Large negative effect . Data Not Reported
  Moderate negative effect . Data Not Reported
  Small negative effect . Data Not Reported
  No opinion 0.0 0.0, 10.1
F Enforcement Large negative effect 36.7 28.8, 44.5
  Moderate negative effect 50.2 42.0, 58.3
  Small negative effect 9.8 5.0, 16.8
  No opinion 3.3 0.9, 8.5
G Investment Management Large negative effect . Data Not Reported
  Moderate negative effect . Data Not Reported
  Small negative effect . Data Not Reported
  No opinion 4.5 0.1, 22.8
H Office of the Chief Accountant and Office of Credit Ratings Large negative effect . Data Not Reported
  Moderate negative effect . Data Not Reported
  Small negative effect . Data Not Reported
  No opinion 0.0 0.0, 16.2
I Compliance Inspections and Examinations Large negative effect 37.3 27.5, 47.1
  Moderate negative effect 43.2 33.1, 53.3
  Small negative effect 16.3 9.1, 26.0
  No opinion 3.2 0.5, 10.1
J Information Technology Large negative effect . Data Not Reported
  Moderate negative effect . Data Not Reported
  Small negative effect 10.3 2.2, 27.4
  No opinion 0.0 0.0, 9.8
K Trading and Markets Large negative effect . Data Not Reported
  Moderate negative effect . Data Not Reported
  Small negative effect . Data Not Reported
  No opinion 0.0 0.0, 9.8
L Enforcement Regional Offices Large negative effect 34.8 24.7, 44.9
  Moderate negative effect 52.2 41.6, 62.8
  Small negative effect 11.6 5.1, 21.6
  No opinion 1.4 0.0, 7.8
M Enforcement Headquarters Large negative effect 40.0 25.7, 55.7
  Moderate negative effect 46.7 34.2, 59.1
  Small negative effect 6.7 1.4, 18.3
  No opinion 6.7 1.4, 18.3
N Compliance Inspections and Examinations Regional Offices Large negative effect 34.0 20.9, 49.3
  Moderate negative effect 42.6 29.7, 55.4
  Small negative effect 19.1 9.1, 33.3
  No opinion 4.3 0.5, 14.5
O Compliance Inspections and Examinations Headquarters Large negative effect 47.6 36.2, 59.0
  Moderate negative effect 45.2 33.9, 56.6
  Small negative effect 7.1 1.5, 19.5
  No opinion 0.0 0.0, 6.9

9. If there are any other issues, details, or information concerning recruitment, training, staff development and resources that you would like us to know about, please use the space below to provide this information.

data intentionally not reported


Section 2 - Communication Within and Between SEC Divisions and Offices

Notes on terms used in Section 2:

(1) Division/office: For purposes of this survey, the phrase "division/office" refers to your division or office (such as the Division of Corporation Finance or OCIE in the Headquarters or the Division of Enforcement or OCIE in a regional office).

(2) Management: For purposes of this survey, "management" refers to Assistant Directors and those at the Senior Officer (SO) level including Directors, Deputy Directors, Managing Executives, and Associate Directors.

Please note: Some questions ask you to look back over the past three years. If you have worked at the SEC for less than three years, we ask that you look back over the period of time that you have worked at the SEC.

10. To what extent do you agree or disagree with the following statements regarding communication within your division/office or between your division/office and other SEC offices and divisions? (Select one response per item.)

10a. SEC management ensures that employees are included in the flow of relevant information.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 16.7 13.9, 19.6
  Somewhat agree 41.4 37.6, 45.2
  Neither agree nor disagree 13.2 10.7, 15.8
  Somewhat disagree 17.6 14.7, 20.5
  Strongly disagree 9.8 7.4, 12.6
  Do not know 1.3 0.5, 2.6
B Entry or Mid-Level Non-Supervisors Strongly agree 15.9 12.8, 19.1
  Somewhat agree 41.5 37.3, 45.8
  Neither agree nor disagree 13.2 10.2, 16.7
  Somewhat disagree 17.3 14.1, 20.5
  Strongly disagree 10.5 7.8, 13.7
  Do not know 1.6 0.6, 3.2
C Supervisors Strongly agree 19.8 13.0, 28.3
  Somewhat agree 40.9 32.4, 49.3
  Neither agree nor disagree 13.5 7.8, 21.1
  Somewhat disagree 18.7 12.0, 27.1
  Strongly disagree 7.1 3.1, 13.4
  Do not know 0.0 0.0, 2.6
D Corporation Finance Strongly agree 11.1 4.9, 20.7
  Somewhat agree 18.1 10.0, 28.9
  Neither agree nor disagree 13.9 6.9, 24.1
  Somewhat disagree 29.2 19.0, 41.1
  Strongly disagree 25.0 15.5, 36.6
  Do not know 2.8 0.3, 9.7
E Division of Economic and Risk Analysis Strongly agree 11.1 3.1, 26.1
  Somewhat agree . Data Not Reported
  Neither agree nor disagree 13.9 4.7, 29.5
  Somewhat disagree 16.7 6.4, 32.8
  Strongly disagree 16.7 6.4, 32.8
  Do not know 0.0 0.0, 8.0
F Enforcement Strongly agree 18.0 12.2, 25.1
  Somewhat agree 44.9 37.8, 51.9
  Neither agree nor disagree 10.7 6.2, 16.7
  Somewhat disagree 19.1 13.2, 26.3
  Strongly disagree 6.8 3.3, 12.1
  Do not know 0.6 0.0, 3.7
G Investment Management Strongly agree 30.2 17.2, 46.1
  Somewhat agree 34.9 21.0, 50.9
  Neither agree nor disagree 16.3 6.8, 30.7
  Somewhat disagree 11.6 3.9, 25.1
  Strongly disagree 7.0 1.5, 19.1
  Do not know 0.0 0.0, 6.7
H Office of the Chief Accountant and Office of Credit Ratings Strongly agree . Data Not Reported
  Somewhat agree . Data Not Reported
  Neither agree nor disagree . Data Not Reported
  Somewhat disagree . Data Not Reported
  Strongly disagree 8.7 1.1, 28.0
  Do not know 0.0 0.0, 12.2
I Compliance Inspections and Examinations Strongly agree 17.9 12.0, 25.2
  Somewhat agree 49.8 41.7, 57.9
  Neither agree nor disagree 12.7 7.7, 19.5
  Somewhat disagree 13.1 8.0, 19.8
  Strongly disagree 5.1 2.1, 10.1
  Do not know 1.3 0.2, 4.9
J Information Technology Strongly agree 13.6 5.2, 27.4
  Somewhat agree 34.1 20.5, 49.9
  Neither agree nor disagree 18.2 8.2, 32.7
  Somewhat disagree 18.2 8.2, 32.7
  Strongly disagree 15.9 6.6, 30.1
  Do not know 0.0 0.0, 6.6
K Trading and Markets Strongly agree 12.5 4.7, 25.2
  Somewhat agree 39.6 25.8, 54.7
  Neither agree nor disagree 18.8 8.9, 32.6
  Somewhat disagree 12.5 4.7, 25.2
  Strongly disagree 12.5 4.7, 25.2
  Do not know 4.2 0.5, 14.3
L Enforcement Regional Offices Strongly agree 17.6 10.2, 27.4
  Somewhat agree 47.1 37.5, 56.6
  Neither agree nor disagree 10.6 5.0, 19.2
  Somewhat disagree 16.5 9.3, 26.1
  Strongly disagree 8.2 3.4, 16.2
  Do not know 0.0 0.0, 3.5
M Enforcement Headquarters Strongly agree 18.5 9.9, 30.0
  Somewhat agree 41.5 31.3, 51.8
  Neither agree nor disagree 10.8 4.4, 20.9
  Somewhat disagree 23.1 13.5, 35.2
  Strongly disagree 4.6 1.0, 12.9
  Do not know 1.5 0.0, 8.3
N Compliance Inspections and Examinations Regional Offices Strongly agree 16.7 9.2, 26.8
  Somewhat agree 50.0 39.9, 60.1
  Neither agree nor disagree 14.1 7.3, 23.8
  Somewhat disagree 14.1 7.3, 23.8
  Strongly disagree 3.8 0.8, 10.8
  Do not know 1.3 0.0, 6.9
O Compliance Inspections and Examinations Headquarters Strongly agree 22.2 12.7, 34.5
  Somewhat agree 49.2 39.9, 58.5
  Neither agree nor disagree 7.9 2.6, 17.6
  Somewhat disagree 9.5 3.6, 19.6
  Strongly disagree 9.5 3.6, 19.6
  Do not know 1.6 0.0, 8.5

10b. My division/office supports open, two-way communication between staff and management.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 25.4 22.1, 28.7
  Somewhat agree 38.9 35.1, 42.6
  Neither agree nor disagree 12.0 9.5, 14.5
  Somewhat disagree 13.6 11.0, 16.3
  Strongly disagree 9.9 7.5, 12.7
  Do not know 0.2 0.0, 1.0
B Entry or Mid-Level Non-Supervisors Strongly agree 25.5 21.8, 29.3
  Somewhat agree 38.0 33.8, 42.2
  Neither agree nor disagree 11.8 8.9, 15.1
  Somewhat disagree 14.5 11.5, 17.6
  Strongly disagree 10.0 7.3, 13.1
  Do not know 0.2 0.0, 1.3
C Supervisors Strongly agree 25.0 17.4, 34.0
  Somewhat agree 42.1 33.5, 50.7
  Neither agree nor disagree 13.0 7.5, 20.6
  Somewhat disagree 10.2 5.3, 17.2
  Strongly disagree 9.7 4.9, 16.7
  Do not know 0.0 0.0, 2.6
D Corporation Finance Strongly agree 15.3 7.9, 25.7
  Somewhat agree 26.4 16.7, 38.1
  Neither agree nor disagree 18.1 10.0, 28.9
  Somewhat disagree 15.3 7.9, 25.7
  Strongly disagree 23.6 14.4, 35.1
  Do not know 1.4 0.0, 7.5
E Division of Economic and Risk Analysis Strongly agree . Data Not Reported
  Somewhat agree . Data Not Reported
  Neither agree nor disagree 10.8 3.0, 25.4
  Somewhat disagree 24.3 11.8, 41.2
  Strongly disagree 8.1 1.7, 21.9
  Do not know 0.0 0.0, 7.8
F Enforcement Strongly agree 29.3 22.9, 35.8
  Somewhat agree 39.4 32.4, 46.3
  Neither agree nor disagree 8.6 4.6, 14.3
  Somewhat disagree 15.8 10.4, 22.7
  Strongly disagree 6.9 3.4, 12.3
  Do not know 0.0 0.0, 2.0
G Investment Management Strongly agree . Data Not Reported
  Somewhat agree 32.6 19.1, 48.5
  Neither agree nor disagree 11.6 3.9, 25.1
  Somewhat disagree 7.0 1.5, 19.1
  Strongly disagree 7.0 1.5, 19.1
  Do not know 0.0 0.0, 6.7
H Office of the Chief Accountant and Office of Credit Ratings Strongly agree . Data Not Reported
  Somewhat agree . Data Not Reported
  Neither agree nor disagree . Data Not Reported
  Somewhat disagree . Data Not Reported
  Strongly disagree . Data Not Reported
  Do not know 0.0 0.0, 12.2
I Compliance Inspections and Examinations Strongly agree 25.9 19.2, 32.7
  Somewhat agree 45.7 37.6, 53.8
  Neither agree nor disagree 12.0 7.0, 18.7
  Somewhat disagree 10.7 6.1, 17.0
  Strongly disagree 5.7 2.5, 10.9
  Do not know 0.0 0.0, 2.1
J Information Technology Strongly agree 15.9 6.6, 30.1
  Somewhat agree 29.5 16.8, 45.2
  Neither agree nor disagree 18.2 8.2, 32.7
  Somewhat disagree 15.9 6.6, 30.1
  Strongly disagree 20.5 9.8, 35.3
  Do not know 0.0 0.0, 6.6
K Trading and Markets Strongly agree 16.7 7.5, 30.2
  Somewhat agree 45.8 35.3, 56.4
  Neither agree nor disagree 14.6 6.1, 27.8
  Somewhat disagree 10.4 3.5, 22.7
  Strongly disagree 12.5 4.7, 25.2
  Do not know 0.0 0.0, 6.1
L Enforcement Regional Offices Strongly agree 26.7 17.8, 37.4
  Somewhat agree 44.2 34.7, 53.6
  Neither agree nor disagree 7.0 2.6, 14.6
  Somewhat disagree 12.8 6.6, 21.7
  Strongly disagree 9.3 4.1, 17.5
  Do not know 0.0 0.0, 3.4
M Enforcement Headquarters Strongly agree 33.3 22.0, 46.3
  Somewhat agree 31.7 20.6, 44.7
  Neither agree nor disagree 11.1 4.6, 21.6
  Somewhat disagree 20.6 11.5, 32.7
  Strongly disagree 3.2 0.4, 11.0
  Do not know 0.0 0.0, 4.6
N Compliance Inspections and Examinations Regional Offices Strongly agree 21.5 13.1, 32.2
  Somewhat agree 48.1 38.1, 58.1
  Neither agree nor disagree 13.9 7.2, 23.5
  Somewhat disagree 11.4 5.3, 20.5
  Strongly disagree 5.1 1.4, 12.5
  Do not know 0.0 0.0, 3.7
O Compliance Inspections and Examinations Headquarters Strongly agree 41.9 32.6, 51.2
  Somewhat agree 37.1 28.0, 46.2
  Neither agree nor disagree 4.8 1.0, 13.5
  Somewhat disagree 8.1 2.7, 17.8
  Strongly disagree 8.1 2.7, 17.8
  Do not know 0.0 0.0, 4.7

10c. Information is adequately shared across groups in my division/office.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 14.6 11.8, 17.3
  Somewhat agree 38.9 35.1, 42.6
  Neither agree nor disagree 14.2 11.5, 16.8
  Somewhat disagree 19.2 16.4, 22.1
  Strongly disagree 10.8 8.4, 13.7
  Do not know 2.4 1.3, 4.0
B Entry or Mid-Level Non-Supervisors Strongly agree 14.7 11.7, 17.8
  Somewhat agree 37.2 33.0, 41.4
  Neither agree nor disagree 14.0 11.0, 16.9
  Somewhat disagree 19.8 16.5, 23.0
  Strongly disagree 11.3 8.5, 14.7
  Do not know 3.0 1.6, 5.0
C Supervisors Strongly agree 13.9 8.2, 21.7
  Somewhat agree 45.2 36.6, 53.7
  Neither agree nor disagree 14.9 8.8, 22.9
  Somewhat disagree 17.3 10.8, 25.5
  Strongly disagree 8.8 4.3, 15.5
  Do not know 0.0 0.0, 2.6
D Corporation Finance Strongly agree 8.3 3.1, 17.3
  Somewhat agree 18.1 10.0, 28.9
  Neither agree nor disagree 13.9 6.9, 24.1
  Somewhat disagree 29.2 19.0, 41.1
  Strongly disagree 26.4 16.7, 38.1
  Do not know 4.2 0.9, 11.7
E Division of Economic and Risk Analysis Strongly agree 16.2 6.2, 32.0
  Somewhat agree 24.3 11.8, 41.2
  Neither agree nor disagree 21.6 9.8, 38.2
  Somewhat disagree 16.2 6.2, 32.0
  Strongly disagree 21.6 9.8, 38.2
  Do not know 0.0 0.0, 7.8
F Enforcement Strongly agree 16.2 10.7, 23.0
  Somewhat agree 46.6 39.7, 53.5
  Neither agree nor disagree 10.1 5.8, 16.0
  Somewhat disagree 17.9 12.1, 25.0
  Strongly disagree 8.1 4.3, 13.6
  Do not know 1.2 0.1, 4.5
G Investment Management Strongly agree 19.5 8.8, 34.9
  Somewhat agree 46.3 35.8, 56.9
  Neither agree nor disagree 12.2 4.1, 26.2
  Somewhat disagree 19.5 8.8, 34.9
  Strongly disagree 2.4 0.1, 12.9
  Do not know 0.0 0.0, 7.0
H Office of the Chief Accountant and Office of Credit Ratings Strongly agree . Data Not Reported
  Somewhat agree . Data Not Reported
  Neither agree nor disagree 4.3 0.1, 21.9
  Somewhat disagree . Data Not Reported
  Strongly disagree . Data Not Reported
  Do not know 0.0 0.0, 12.2
I Compliance Inspections and Examinations Strongly agree 17.5 11.6, 24.8
  Somewhat agree 41.7 33.7, 49.7
  Neither agree nor disagree 16.3 10.6, 23.5
  Somewhat disagree 14.5 9.1, 21.4
  Strongly disagree 6.4 2.9, 11.7
  Do not know 3.7 1.2, 8.3
J Information Technology Strongly agree 4.5 0.6, 15.5
  Somewhat agree 22.7 11.5, 37.8
  Neither agree nor disagree 22.7 11.5, 37.8
  Somewhat disagree 34.1 20.5, 49.9
  Strongly disagree 15.9 6.6, 30.1
  Do not know 0.0 0.0, 6.6
K Trading and Markets Strongly agree 8.3 2.3, 20.0
  Somewhat agree 37.5 24.0, 52.6
  Neither agree nor disagree 20.8 10.5, 35.0
  Somewhat disagree 18.8 8.9, 32.6
  Strongly disagree 10.4 3.5, 22.7
  Do not know 4.2 0.5, 14.3
L Enforcement Regional Offices Strongly agree 11.6 5.7, 20.3
  Somewhat agree 57.0 47.5, 66.4
  Neither agree nor disagree 11.6 5.7, 20.3
  Somewhat disagree 10.5 4.9, 18.9
  Strongly disagree 9.3 4.1, 17.5
  Do not know 0.0 0.0, 3.4
M Enforcement Headquarters Strongly agree 23.1 13.5, 35.2
  Somewhat agree 30.8 19.9, 43.4
  Neither agree nor disagree 7.7 2.5, 17.0
  Somewhat disagree 29.2 18.6, 41.8
  Strongly disagree 6.2 1.7, 15.0
  Do not know 3.1 0.4, 10.7
N Compliance Inspections and Examinations Regional Offices Strongly agree 15.2 8.1, 25.0
  Somewhat agree 44.3 34.3, 54.3
  Neither agree nor disagree 17.7 10.0, 27.9
  Somewhat disagree 12.7 6.2, 22.0
  Strongly disagree 6.3 2.1, 14.2
  Do not know 3.8 0.8, 10.7
O Compliance Inspections and Examinations Headquarters Strongly agree 25.8 15.5, 38.5
  Somewhat agree 32.3 20.9, 45.3
  Neither agree nor disagree 11.3 4.7, 21.9
  Somewhat disagree 21.0 11.7, 33.2
  Strongly disagree 6.5 1.8, 15.7
  Do not know 3.2 0.4, 11.2

10d. Communication across groups in my division/office has improved over the past three years.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 13.9 11.3, 16.5
  Somewhat agree 26.1 22.7, 29.5
  Neither agree nor disagree 31.4 27.7, 35.0
  Somewhat disagree 14.9 12.2, 17.5
  Strongly disagree 7.7 5.6, 10.2
  Do not know 6.0 4.2, 8.4
B Entry or Mid-Level Non-Supervisors Strongly agree 13.0 10.0, 16.5
  Somewhat agree 23.3 19.7, 26.9
  Neither agree nor disagree 32.5 28.3, 36.6
  Somewhat disagree 16.2 13.1, 19.4
  Strongly disagree 7.4 5.2, 10.3
  Do not know 7.6 5.3, 10.5
C Supervisors Strongly agree 17.6 11.1, 25.8
  Somewhat agree 36.9 28.5, 45.4
  Neither agree nor disagree 27.2 19.3, 36.3
  Somewhat disagree 9.6 4.9, 16.5
  Strongly disagree 8.8 4.3, 15.5
  Do not know 0.0 0.0, 2.6
D Corporation Finance Strongly agree 8.3 3.1, 17.3
  Somewhat agree 15.3 7.9, 25.7
  Neither agree nor disagree 25.0 15.5, 36.6
  Somewhat disagree 25.0 15.5, 36.6
  Strongly disagree 22.2 13.3, 33.6
  Do not know 4.2 0.9, 11.7
E Division of Economic and Risk Analysis Strongly agree 21.6 9.8, 38.2
  Somewhat agree . Data Not Reported
  Neither agree nor disagree . Data Not Reported
  Somewhat disagree 13.5 4.5, 28.8
  Strongly disagree 2.7 0.1, 14.2
  Do not know 5.4 0.7, 18.2
F Enforcement Strongly agree 12.8 7.9, 19.2
  Somewhat agree 24.1 17.5, 31.8
  Neither agree nor disagree 34.1 27.3, 40.8
  Somewhat disagree 17.7 11.9, 24.7
  Strongly disagree 5.5 2.4, 10.4
  Do not know 5.9 2.7, 10.9
G Investment Management Strongly agree 30.2 17.2, 46.1
  Somewhat agree . Data Not Reported
  Neither agree nor disagree 14.0 5.3, 27.9
  Somewhat disagree 9.3 2.6, 22.1
  Strongly disagree 4.7 0.6, 15.8
  Do not know 4.7 0.6, 15.8
H Office of the Chief Accountant and Office of Credit Ratings Strongly agree . Data Not Reported
  Somewhat agree . Data Not Reported
  Neither agree nor disagree . Data Not Reported
  Somewhat disagree 4.3 0.1, 21.9
  Strongly disagree 4.3 0.1, 21.9
  Do not know . Data Not Reported
I Compliance Inspections and Examinations Strongly agree 14.8 9.4, 21.7
  Somewhat agree 32.4 24.8, 39.9
  Neither agree nor disagree 35.1 27.2, 43.0
  Somewhat disagree 9.0 4.9, 15.0
  Strongly disagree 3.7 1.3, 8.3
  Do not know 5.1 2.1, 10.1
J Information Technology Strongly agree 6.8 1.4, 18.7
  Somewhat agree 20.5 9.8, 35.3
  Neither agree nor disagree 25.0 13.2, 40.3
  Somewhat disagree 25.0 13.2, 40.3
  Strongly disagree 20.5 9.8, 35.3
  Do not know 2.3 0.1, 12.0
K Trading and Markets Strongly agree 10.6 3.5, 23.1
  Somewhat agree 19.1 9.1, 33.3
  Neither agree nor disagree 38.3 24.5, 53.6
  Somewhat disagree 8.5 2.4, 20.4
  Strongly disagree 6.4 1.3, 17.5
  Do not know 17.0 7.6, 30.8
L Enforcement Regional Offices Strongly agree 14.0 7.4, 23.1
  Somewhat agree 25.6 16.8, 36.1
  Neither agree nor disagree 34.9 25.8, 44.0
  Somewhat disagree 14.0 7.4, 23.1
  Strongly disagree 7.0 2.6, 14.6
  Do not know 4.7 1.3, 11.5
M Enforcement Headquarters Strongly agree 10.9 4.5, 21.2
  Somewhat agree 21.9 12.5, 34.0
  Neither agree nor disagree 32.8 21.6, 45.7
  Somewhat disagree 23.4 13.8, 35.7
  Strongly disagree 3.1 0.4, 10.8
  Do not know 7.8 2.6, 17.3
N Compliance Inspections and Examinations Regional Offices Strongly agree 12.7 6.2, 22.0
  Somewhat agree 31.6 22.3, 41.0
  Neither agree nor disagree 40.5 30.7, 50.3
  Somewhat disagree 8.9 3.6, 17.4
  Strongly disagree 2.5 0.3, 8.8
  Do not know 3.8 0.8, 10.7
O Compliance Inspections and Examinations Headquarters Strongly agree 22.2 12.7, 34.5
  Somewhat agree 34.9 23.3, 48.0
  Neither agree nor disagree 15.9 7.9, 27.3
  Somewhat disagree 9.5 3.6, 19.6
  Strongly disagree 7.9 2.6, 17.6
  Do not know 9.5 3.6, 19.6

10e. Overall, information and knowledge are shared openly at all levels within my division/office.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 15.3 12.5, 18.1
  Somewhat agree 27.8 24.4, 31.3
  Neither agree nor disagree 20.2 17.0, 23.4
  Somewhat disagree 20.6 17.5, 23.6
  Strongly disagree 13.0 10.6, 15.4
  Do not know 3.2 1.9, 5.0
B Entry or Mid-Level Non-Supervisors Strongly agree 15.0 11.9, 18.1
  Somewhat agree 26.3 22.5, 30.1
  Neither agree nor disagree 20.0 16.4, 23.5
  Somewhat disagree 21.3 17.9, 24.8
  Strongly disagree 13.6 10.5, 17.1
  Do not know 3.8 2.2, 6.0
C Supervisors Strongly agree 16.4 10.1, 24.5
  Somewhat agree 33.7 25.5, 41.9
  Neither agree nor disagree 21.0 13.9, 29.7
  Somewhat disagree 17.5 11.0, 25.7
  Strongly disagree 10.6 5.6, 17.7
  Do not know 0.8 0.0, 4.8
D Corporation Finance Strongly agree 8.3 3.1, 17.3
  Somewhat agree 15.3 7.9, 25.7
  Neither agree nor disagree 12.5 5.9, 22.4
  Somewhat disagree 29.2 19.0, 41.1
  Strongly disagree 29.2 19.0, 41.1
  Do not know 5.6 1.5, 13.6
E Division of Economic and Risk Analysis Strongly agree 19.4 8.2, 36.0
  Somewhat agree . Data Not Reported
  Neither agree nor disagree 16.7 6.4, 32.8
  Somewhat disagree 22.2 10.1, 39.2
  Strongly disagree 16.7 6.4, 32.8
  Do not know 0.0 0.0, 8.0
F Enforcement Strongly agree 15.4 10.1, 22.2
  Somewhat agree 34.7 28.0, 41.5
  Neither agree nor disagree 15.5 10.1, 22.3
  Somewhat disagree 21.5 15.2, 28.9
  Strongly disagree 10.8 6.3, 16.8
  Do not know 2.1 0.5, 5.9
G Investment Management Strongly agree 20.9 10.0, 36.0
  Somewhat agree 34.9 21.0, 50.9
  Neither agree nor disagree 18.6 8.4, 33.4
  Somewhat disagree 20.9 10.0, 36.0
  Strongly disagree 4.7 0.6, 15.8
  Do not know 0.0 0.0, 6.7
H Office of the Chief Accountant and Office of Credit Ratings Strongly agree . Data Not Reported
  Somewhat agree . Data Not Reported
  Neither agree nor disagree . Data Not Reported
  Somewhat disagree . Data Not Reported
  Strongly disagree . Data Not Reported
  Do not know 0.0 0.0, 12.2
I Compliance Inspections and Examinations Strongly agree 17.7 11.8, 25.0
  Somewhat agree 26.4 19.5, 33.4
  Neither agree nor disagree 29.5 21.9, 37.0
  Somewhat disagree 15.0 9.6, 21.9
  Strongly disagree 7.0 3.4, 12.6
  Do not know 4.4 1.6, 9.1
J Information Technology Strongly agree 6.8 1.4, 18.7
  Somewhat agree 22.7 11.5, 37.8
  Neither agree nor disagree 18.2 8.2, 32.7
  Somewhat disagree 25.0 13.2, 40.3
  Strongly disagree 27.3 15.0, 42.8
  Do not know 0.0 0.0, 6.6
K Trading and Markets Strongly agree 14.6 6.1, 27.8
  Somewhat agree 22.9 12.0, 37.3
  Neither agree nor disagree 22.9 12.0, 37.3
  Somewhat disagree 18.8 8.9, 32.6
  Strongly disagree 14.6 6.1, 27.8
  Do not know 6.3 1.3, 17.2
L Enforcement Regional Offices Strongly agree 16.5 9.3, 26.1
  Somewhat agree 35.3 26.1, 44.4
  Neither agree nor disagree 17.6 10.2, 27.4
  Somewhat disagree 15.3 8.4, 24.7
  Strongly disagree 11.8 5.8, 20.6
  Do not know 3.5 0.7, 10.0
M Enforcement Headquarters Strongly agree 13.8 6.5, 24.7
  Somewhat agree 33.8 22.6, 46.6
  Neither agree nor disagree 12.3 5.5, 22.8
  Somewhat disagree 30.8 19.9, 43.4
  Strongly disagree 9.2 3.5, 19.0
  Do not know 0.0 0.0, 4.5
N Compliance Inspections and Examinations Regional Offices Strongly agree 16.5 9.1, 26.5
  Somewhat agree 24.1 15.1, 35.0
  Neither agree nor disagree 34.2 24.7, 43.7
  Somewhat disagree 15.2 8.1, 25.0
  Strongly disagree 6.3 2.1, 14.2
  Do not know 3.8 0.8, 10.7
O Compliance Inspections and Examinations Headquarters Strongly agree 22.2 12.7, 34.5
  Somewhat agree 34.9 23.3, 48.0
  Neither agree nor disagree 12.7 5.6, 23.5
  Somewhat disagree 14.3 6.7, 25.4
  Strongly disagree 9.5 3.6, 19.6
  Do not know 6.3 1.8, 15.5

10f. In my division/office, communication between other offices and divisions (such as between OCIE and CorpFin) on work-related matters is encouraged.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 29.3 25.8, 32.8
  Somewhat agree 37.0 33.3, 40.8
  Neither agree nor disagree 16.9 14.0, 19.8
  Somewhat disagree 7.8 5.7, 10.4
  Strongly disagree 6.0 4.1, 8.2
  Do not know 2.9 1.7, 4.7
B Entry or Mid-Level Non-Supervisors Strongly agree 27.7 23.9, 31.6
  Somewhat agree 36.0 31.9, 40.2
  Neither agree nor disagree 17.7 14.5, 21.0
  Somewhat disagree 8.2 5.8, 11.1
  Strongly disagree 6.8 4.6, 9.6
  Do not know 3.5 2.0, 5.6
C Supervisors Strongly agree 35.4 27.1, 43.7
  Somewhat agree 40.8 32.3, 49.4
  Neither agree nor disagree 13.8 8.0, 21.5
  Somewhat disagree 6.4 2.7, 12.6
  Strongly disagree 2.7 0.6, 7.6
  Do not know 0.8 0.0, 4.8
D Corporation Finance Strongly agree 18.1 10.0, 28.9
  Somewhat agree 29.2 19.0, 41.1
  Neither agree nor disagree 22.2 13.3, 33.6
  Somewhat disagree 13.9 6.9, 24.1
  Strongly disagree 11.1 4.9, 20.7
  Do not know 5.6 1.5, 13.6
E Division of Economic and Risk Analysis Strongly agree 18.9 8.0, 35.2
  Somewhat agree . Data Not Reported
  Neither agree nor disagree 16.2 6.2, 32.0
  Somewhat disagree 13.5 4.5, 28.8
  Strongly disagree 8.1 1.7, 21.9
  Do not know 0.0 0.0, 7.8
F Enforcement Strongly agree 40.3 33.4, 47.3
  Somewhat agree 40.4 33.4, 47.3
  Neither agree nor disagree 12.6 7.7, 19.0
  Somewhat disagree 1.4 0.2, 4.9
  Strongly disagree 4.1 1.5, 8.6
  Do not know 1.2 0.1, 4.6
G Investment Management Strongly agree 34.9 21.0, 50.9
  Somewhat agree . Data Not Reported
  Neither agree nor disagree 14.0 5.3, 27.9
  Somewhat disagree 9.3 2.6, 22.1
  Strongly disagree 2.3 0.1, 12.3
  Do not know 0.0 0.0, 6.7
H Office of the Chief Accountant and Office of Credit Ratings Strongly agree . Data Not Reported
  Somewhat agree . Data Not Reported
  Neither agree nor disagree . Data Not Reported
  Somewhat disagree 4.3 0.1, 21.9
  Strongly disagree . Data Not Reported
  Do not know 0.0 0.0, 12.2
I Compliance Inspections and Examinations Strongly agree 25.8 18.9, 32.7
  Somewhat agree 37.0 29.1, 44.8
  Neither agree nor disagree 18.6 12.5, 26.0
  Somewhat disagree 10.6 6.1, 16.9
  Strongly disagree 3.4 1.1, 7.8
  Do not know 4.6 1.8, 9.6
J Information Technology Strongly agree 6.8 1.4, 18.7
  Somewhat agree 22.7 11.5, 37.8
  Neither agree nor disagree 34.1 20.5, 49.9
  Somewhat disagree 18.2 8.2, 32.7
  Strongly disagree 15.9 6.6, 30.1
  Do not know 2.3 0.1, 12.0
K Trading and Markets Strongly agree 29.2 17.0, 44.1
  Somewhat agree 41.7 31.2, 52.1
  Neither agree nor disagree 12.5 4.7, 25.2
  Somewhat disagree 6.3 1.3, 17.2
  Strongly disagree 6.3 1.3, 17.2
  Do not know 4.2 0.5, 14.3
L Enforcement Regional Offices Strongly agree 36.5 27.2, 45.7
  Somewhat agree 44.7 35.2, 54.2
  Neither agree nor disagree 11.8 5.8, 20.6
  Somewhat disagree 2.4 0.3, 8.2
  Strongly disagree 4.7 1.3, 11.6
  Do not know 0.0 0.0, 3.5
M Enforcement Headquarters Strongly agree 46.2 35.8, 56.5
  Somewhat agree 33.8 22.6, 46.6
  Neither agree nor disagree 13.8 6.5, 24.7
  Somewhat disagree 0.0 0.0, 4.5
  Strongly disagree 3.1 0.4, 10.7
  Do not know 3.1 0.4, 10.7
N Compliance Inspections and Examinations Regional Offices Strongly agree 22.8 14.1, 33.6
  Somewhat agree 38.0 28.2, 47.7
  Neither agree nor disagree 20.3 12.0, 30.8
  Somewhat disagree 11.4 5.3, 20.5
  Strongly disagree 2.5 0.3, 8.8
  Do not know 5.1 1.4, 12.5
O Compliance Inspections and Examinations Headquarters Strongly agree 36.5 27.5, 45.5
  Somewhat agree 33.3 22.0, 46.3
  Neither agree nor disagree 12.7 5.6, 23.5
  Somewhat disagree 7.9 2.6, 17.6
  Strongly disagree 6.3 1.8, 15.5
  Do not know 3.2 0.4, 11.0

11. In the past 12 months, how often, if at all, did you typically contact employees in the following Headquarters divisions or offices for work-related issues such as to coordinate activities or ask for expert advice? (Select one response per item. If you work in that division or office, select "Not Applicable.")

11a. OCIE

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Daily 5.1 3.4, 7.3
  One or more times a week 5.0 3.3, 7.1
  One or more times a month 12.9 10.3, 15.4
  One or more times in the past 12 months 36.7 32.9, 40.4
  Never 32.1 28.8, 35.5
  Do not know 0.4 0.0, 1.3
  Not applicable 7.9 5.8, 10.5
B Entry or Mid-Level Non-Supervisors Daily 4.4 2.7, 6.8
  One or more times a week 4.3 2.6, 6.6
  One or more times a month 9.7 7.1, 12.9
  One or more times in the past 12 months 38.7 34.5, 42.9
  Never 34.9 31.0, 38.8
  Do not know 0.4 0.1, 1.6
  Not applicable 7.6 5.3, 10.5
C Supervisors Daily 7.9 3.6, 14.6
  One or more times a week 7.8 3.6, 14.5
  One or more times a month 25.3 17.5, 34.4
  One or more times in the past 12 months 28.7 20.5, 36.9
  Never 21.2 14.0, 29.9
  Do not know 0.0 0.0, 2.7
  Not applicable 9.1 4.4, 16.0
D Corporation Finance Daily 0.0 0.0, 4.1
  One or more times a week 0.0 0.0, 4.1
  One or more times a month 1.4 0.0, 7.6
  One or more times in the past 12 months 8.5 3.2, 17.5
  Never 84.5 74.0, 92.0
  Do not know 1.4 0.0, 7.6
  Not applicable 4.2 0.9, 11.9
E Division of Economic and Risk Analysis Daily 0.0 0.0, 8.0
  One or more times a week 0.0 0.0, 8.0
  One or more times a month 5.6 0.7, 18.7
  One or more times in the past 12 months . Data Not Reported
  Never . Data Not Reported
  Do not know 5.6 0.7, 18.7
  Not applicable 5.6 0.7, 18.7
F Enforcement Daily 0.0 0.0, 2.0
  One or more times a week 3.8 1.4, 8.3
  One or more times a month 13.3 8.3, 19.8
  One or more times in the past 12 months 46.5 39.5, 53.6
  Never 33.6 26.9, 40.2
  Do not know 0.0 0.0, 2.0
  Not applicable 2.8 0.8, 6.9
G Investment Management Daily 0.0 0.0, 6.7
  One or more times a week 4.7 0.6, 15.8
  One or more times a month 25.6 13.5, 41.2
  One or more times in the past 12 months 53.5 43.1, 63.8
  Never 16.3 6.8, 30.7
  Do not know 0.0 0.0, 6.7
  Not applicable 0.0 0.0, 6.7
H Office of the Chief Accountant and Office of Credit Ratings Daily 0.0 0.0, 13.3
  One or more times a week 4.8 0.1, 23.8
  One or more times a month 0.0 0.0, 13.3
  One or more times in the past 12 months . Data Not Reported
  Never . Data Not Reported
  Do not know 0.0 0.0, 13.3
  Not applicable 4.8 0.1, 23.8
I Compliance Inspections and Examinations Daily 15.6 10.1, 22.7
  One or more times a week 6.2 2.8, 11.5
  One or more times a month 10.8 6.2, 17.3
  One or more times in the past 12 months 36.7 28.7, 44.7
  Never 13.5 8.0, 20.7
  Do not know 0.0 0.0, 2.1
  Not applicable 17.2 11.3, 24.5
J Information Technology Daily 6.8 1.4, 18.7
  One or more times a week 9.1 2.5, 21.7
  One or more times a month 13.6 5.2, 27.4
  One or more times in the past 12 months 36.4 22.4, 52.2
  Never 22.7 11.5, 37.8
  Do not know 0.0 0.0, 6.6
  Not applicable 11.4 3.8, 24.6
K Trading and Markets Daily 0.0 0.0, 6.2
  One or more times a week 14.9 6.2, 28.3
  One or more times a month 40.4 26.4, 55.7
  One or more times in the past 12 months 25.5 13.9, 40.3
  Never 14.9 6.2, 28.3
  Do not know 0.0 0.0, 6.2
  Not applicable 4.3 0.5, 14.5
L Enforcement Regional Offices Daily 0.0 0.0, 3.4
  One or more times a week 2.3 0.3, 8.1
  One or more times a month 13.8 7.3, 22.9
  One or more times in the past 12 months 48.3 38.8, 57.7
  Never 31.0 22.3, 39.8
  Do not know 0.0 0.0, 3.4
  Not applicable 4.6 1.3, 11.4
M Enforcement Headquarters Daily 0.0 0.0, 4.6
  One or more times a week 6.2 1.7, 15.2
  One or more times a month 12.5 5.6, 23.2
  One or more times in the past 12 months 43.7 33.4, 54.1
  Never 37.5 27.4, 47.6
  Do not know 0.0 0.0, 4.6
  Not applicable 0.0 0.0, 4.6
N Compliance Inspections and Examinations Regional Offices Daily 7.8 2.9, 16.2
  One or more times a week 5.2 1.4, 12.8
  One or more times a month 11.7 5.5, 21.0
  One or more times in the past 12 months 45.5 35.3, 55.6
  Never 16.9 9.3, 27.1
  Do not know 0.0 0.0, 3.8
  Not applicable 13.0 6.4, 22.6
O Compliance Inspections and Examinations Headquarters Daily 42.9 33.6, 52.1
  One or more times a week 9.5 3.6, 19.6
  One or more times a month 7.9 2.6, 17.6
  One or more times in the past 12 months 6.3 1.8, 15.5
  Never 1.6 0.0, 8.5
  Do not know 0.0 0.0, 4.6
  Not applicable 31.7 20.6, 44.7

11b. Division of Enforcement

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Daily 8.9 6.6, 11.6
  One or more times a week 7.5 5.4, 10.0
  One or more times a month 12.8 10.3, 15.2
  One or more times in the past 12 months 34.1 30.6, 37.6
  Never 20.5 17.5, 23.5
  Do not know 0.5 0.1, 1.6
  Not applicable 15.7 13.0, 18.4
B Entry or Mid-Level Non-Supervisors Daily 9.0 6.5, 12.1
  One or more times a week 6.5 4.3, 9.2
  One or more times a month 11.5 8.6, 14.8
  One or more times in the past 12 months 32.2 28.3, 36.1
  Never 22.9 19.3, 26.4
  Do not know 0.7 0.1, 2.0
  Not applicable 17.3 14.1, 20.6
C Supervisors Daily 8.3 3.9, 15.0
  One or more times a week 11.4 6.1, 18.7
  One or more times a month 18.0 11.4, 26.3
  One or more times in the past 12 months 41.6 33.0, 50.1
  Never 11.4 6.2, 18.8
  Do not know 0.0 0.0, 2.6
  Not applicable 9.4 4.7, 16.4
D Corporation Finance Daily 0.0 0.0, 4.1
  One or more times a week 6.9 2.3, 15.5
  One or more times a month 9.7 4.0, 19.0
  One or more times in the past 12 months 61.1 51.6, 70.6
  Never 20.8 12.2, 32.0
  Do not know 0.0 0.0, 4.1
  Not applicable 1.4 0.0, 7.5
E Division of Economic and Risk Analysis Daily 10.8 3.0, 25.4
  One or more times a week 18.9 8.0, 35.2
  One or more times a month 10.8 3.0, 25.4
  One or more times in the past 12 months . Data Not Reported
  Never 21.6 9.8, 38.2
  Do not know 0.0 0.0, 7.8
  Not applicable 5.4 0.7, 18.2
F Enforcement Daily 22.6 16.2, 30.1
  One or more times a week 9.1 5.1, 14.9
  One or more times a month 9.7 5.5, 15.6
  One or more times in the past 12 months 16.9 11.3, 23.8
  Never 2.7 0.8, 6.8
  Do not know 0.0 0.0, 2.0
  Not applicable 39.0 32.1, 45.9
G Investment Management Daily 2.3 0.1, 12.3
  One or more times a week 2.3 0.1, 12.3
  One or more times a month 16.3 6.8, 30.7
  One or more times in the past 12 months . Data Not Reported
  Never . Data Not Reported
  Do not know 0.0 0.0, 6.7
  Not applicable 0.0 0.0, 6.7
H Office of the Chief Accountant and Office of Credit Ratings Daily 4.5 0.1, 22.8
  One or more times a week . Data Not Reported
  One or more times a month . Data Not Reported
  One or more times in the past 12 months . Data Not Reported
  Never . Data Not Reported
  Do not know 0.0 0.0, 12.7
  Not applicable 4.5 0.1, 22.8
I Compliance Inspections and Examinations Daily 0.4 0.0, 3.9
  One or more times a week 3.8 1.3, 8.5
  One or more times a month 13.1 8.0, 19.8
  One or more times in the past 12 months 41.7 33.7, 49.7
  Never 37.7 29.6, 45.7
  Do not know 1.0 0.0, 4.9
  Not applicable 2.4 0.5, 6.6
J Information Technology Daily 0.0 0.0, 6.7
  One or more times a week 9.3 2.6, 22.1
  One or more times a month 18.6 8.4, 33.4
  One or more times in the past 12 months . Data Not Reported
  Never 18.6 8.4, 33.4
  Do not know 4.7 0.6, 15.8
  Not applicable 11.6 3.9, 25.1
K Trading and Markets Daily 4.3 0.5, 14.8
  One or more times a week 10.9 3.6, 23.6
  One or more times a month 28.3 16.0, 43.5
  One or more times in the past 12 months 30.4 17.7, 45.8
  Never 21.7 10.9, 36.4
  Do not know 0.0 0.0, 6.3
  Not applicable 4.3 0.5, 14.8
L Enforcement Regional Offices Daily 14.0 7.4, 23.1
  One or more times a week 7.0 2.6, 14.6
  One or more times a month 14.0 7.4, 23.1
  One or more times in the past 12 months 26.7 17.8, 37.4
  Never 3.5 0.7, 9.9
  Do not know 0.0 0.0, 3.4
  Not applicable 34.9 25.8, 44.0
M Enforcement Headquarters Daily 35.9 25.9, 46.0
  One or more times a week 12.5 5.6, 23.2
  One or more times a month 3.1 0.4, 10.8
  One or more times in the past 12 months 1.6 0.0, 8.4
  Never 1.6 0.0, 8.4
  Do not know 0.0 0.0, 4.6
  Not applicable 45.3 34.9, 55.7
N Compliance Inspections and Examinations Regional Offices Daily 0.0 0.0, 3.8
  One or more times a week 2.6 0.3, 9.1
  One or more times a month 10.4 4.6, 19.4
  One or more times in the past 12 months 40.3 30.3, 50.2
  Never 42.9 32.8, 52.9
  Do not know 1.3 0.0, 7.0
  Not applicable 2.6 0.3, 9.1
O Compliance Inspections and Examinations Headquarters Daily 1.6 0.0, 8.7
  One or more times a week 8.1 2.7, 17.8
  One or more times a month 22.6 12.9, 35.0
  One or more times in the past 12 months 46.8 37.4, 56.2
  Never 19.4 10.4, 31.4
  Do not know 0.0 0.0, 4.7
  Not applicable 1.6 0.0, 8.7

11c. Division of Corporation Finance

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Daily 4.2 2.7, 6.2
  One or more times a week 3.4 2.0, 5.3
  One or more times a month 10.9 8.4, 13.8
  One or more times in the past 12 months 38.6 35.1, 42.1
  Never 34.3 31.0, 37.5
  Do not know 0.5 0.1, 1.5
  Not applicable 8.2 6.0, 10.8
B Entry or Mid-Level Non-Supervisors Daily 3.9 2.3, 6.2
  One or more times a week 3.0 1.6, 5.1
  One or more times a month 9.9 7.3, 13.1
  One or more times in the past 12 months 40.0 36.0, 44.0
  Never 33.9 30.0, 37.7
  Do not know 0.6 0.1, 1.9
  Not applicable 8.5 6.1, 11.6
C Supervisors Daily 5.2 1.9, 11.1
  One or more times a week 4.8 1.6, 10.5
  One or more times a month 14.7 8.7, 22.7
  One or more times in the past 12 months 33.0 25.1, 41.0
  Never 35.7 27.2, 44.1
  Do not know 0.0 0.0, 2.7
  Not applicable 6.6 2.8, 13.0
D Corporation Finance Daily 33.3 22.4, 45.7
  One or more times a week 5.8 1.6, 14.2
  One or more times a month 5.8 1.6, 14.2
  One or more times in the past 12 months 4.3 0.9, 12.2
  Never 1.4 0.0, 7.8
  Do not know 0.0 0.0, 4.2
  Not applicable 49.3 39.3, 59.3
E Division of Economic and Risk Analysis Daily 0.0 0.0, 7.8
  One or more times a week 13.5 4.5, 28.8
  One or more times a month 5.4 0.7, 18.2
  One or more times in the past 12 months . Data Not Reported
  Never . Data Not Reported
  Do not know 5.4 0.7, 18.2
  Not applicable 0.0 0.0, 7.8
F Enforcement Daily 0.0 0.0, 2.0
  One or more times a week 1.9 0.4, 5.6
  One or more times a month 19.8 13.7, 27.1
  One or more times in the past 12 months 64.2 57.4, 71.0
  Never 13.4 8.4, 19.9
  Do not know 0.0 0.0, 2.0
  Not applicable 0.7 0.0, 3.7
G Investment Management Daily 0.0 0.0, 6.9
  One or more times a week 11.9 4.0, 25.6
  One or more times a month 16.7 7.0, 31.4
  One or more times in the past 12 months 45.2 34.8, 55.7
  Never 26.2 13.9, 42.0
  Do not know 0.0 0.0, 6.9
  Not applicable 0.0 0.0, 6.9
H Office of the Chief Accountant and Office of Credit Ratings Daily 0.0 0.0, 12.7
  One or more times a week . Data Not Reported
  One or more times a month . Data Not Reported
  One or more times in the past 12 months . Data Not Reported
  Never . Data Not Reported
  Do not know 4.5 0.1, 22.8
  Not applicable 0.0 0.0, 12.7
I Compliance Inspections and Examinations Daily 0.0 0.0, 2.1
  One or more times a week 0.0 0.0, 2.1
  One or more times a month 0.7 0.0, 3.9
  One or more times in the past 12 months 22.1 15.5, 29.9
  Never 72.8 65.8, 79.8
  Do not know 0.4 0.0, 3.9
  Not applicable 4.1 1.5, 8.8
J Information Technology Daily 2.4 0.1, 12.9
  One or more times a week 2.4 0.1, 12.9
  One or more times a month 14.6 5.6, 29.2
  One or more times in the past 12 months . Data Not Reported
  Never . Data Not Reported
  Do not know 2.4 0.1, 12.9
  Not applicable 9.8 2.7, 23.1
K Trading and Markets Daily 0.0 0.0, 6.2
  One or more times a week 8.5 2.4, 20.4
  One or more times a month 10.6 3.5, 23.1
  One or more times in the past 12 months 55.3 44.7, 66.0
  Never 23.4 12.3, 38.0
  Do not know 0.0 0.0, 6.2
  Not applicable 2.1 0.1, 11.3
L Enforcement Regional Offices Daily 0.0 0.0, 3.4
  One or more times a week 1.2 0.0, 6.3
  One or more times a month 17.4 10.1, 27.1
  One or more times in the past 12 months 66.3 57.3, 75.3
  Never 14.0 7.4, 23.1
  Do not know 0.0 0.0, 3.4
  Not applicable 1.2 0.0, 6.3
M Enforcement Headquarters Daily 0.0 0.0, 4.6
  One or more times a week 3.1 0.4, 10.8
  One or more times a month 23.4 13.8, 35.7
  One or more times in the past 12 months 60.9 50.7, 71.2
  Never 12.5 5.6, 23.2
  Do not know 0.0 0.0, 4.6
  Not applicable 0.0 0.0, 4.6
N Compliance Inspections and Examinations Regional Offices Daily 0.0 0.0, 3.8
  One or more times a week 0.0 0.0, 3.8
  One or more times a month 0.0 0.0, 3.8
  One or more times in the past 12 months 19.2 11.2, 29.7
  Never 76.9 66.0, 85.7
  Do not know 0.0 0.0, 3.8
  Not applicable 3.8 0.8, 10.8
O Compliance Inspections and Examinations Headquarters Daily 0.0 0.0, 4.7
  One or more times a week 0.0 0.0, 4.7
  One or more times a month 3.2 0.4, 11.2
  One or more times in the past 12 months 32.3 20.9, 45.3
  Never 58.1 48.8, 67.4
  Do not know 1.6 0.0, 8.7
  Not applicable 4.8 1.0, 13.5

11d. Division of Investment Management

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Daily 2.3 1.2, 3.9
  One or more times a week 2.6 1.4, 4.3
  One or more times a month 12.6 10.2, 14.9
  One or more times in the past 12 months 43.8 40.0, 47.6
  Never 32.6 29.1, 36.2
  Do not know 0.8 0.2, 2.0
  Not applicable 5.3 3.6, 7.5
B Entry or Mid-Level Non-Supervisors Daily 2.1 1.0, 3.9
  One or more times a week 2.2 1.1, 4.1
  One or more times a month 11.0 8.3, 14.4
  One or more times in the past 12 months 41.5 37.3, 45.8
  Never 36.2 32.0, 40.3
  Do not know 1.0 0.3, 2.5
  Not applicable 6.0 3.9, 8.6
C Supervisors Daily 3.2 0.8, 8.4
  One or more times a week 3.9 1.2, 9.4
  One or more times a month 18.5 11.8, 26.9
  One or more times in the past 12 months 52.5 44.1, 61.0
  Never 19.0 12.2, 27.5
  Do not know 0.0 0.0, 2.6
  Not applicable 2.8 0.6, 7.9
D Corporation Finance Daily 0.0 0.0, 4.1
  One or more times a week 1.4 0.0, 7.6
  One or more times a month 9.9 4.1, 19.3
  One or more times in the past 12 months 36.6 27.1, 46.1
  Never 49.3 39.5, 59.1
  Do not know 0.0 0.0, 4.1
  Not applicable 2.8 0.3, 9.8
E Division of Economic and Risk Analysis Daily 5.6 0.7, 18.7
  One or more times a week 11.1 3.1, 26.1
  One or more times a month . Data Not Reported
  One or more times in the past 12 months 16.7 6.4, 32.8
  Never . Data Not Reported
  Do not know 8.3 1.8, 22.5
  Not applicable 0.0 0.0, 8.0
F Enforcement Daily 0.0 0.0, 2.0
  One or more times a week 0.6 0.0, 3.6
  One or more times a month 14.0 8.9, 20.6
  One or more times in the past 12 months 56.0 49.0, 63.0
  Never 26.7 20.6, 32.9
  Do not know 0.0 0.0, 2.0
  Not applicable 2.7 0.8, 6.7
G Investment Management Daily . Data Not Reported
  One or more times a week 2.3 0.1, 12.3
  One or more times a month 4.7 0.6, 15.8
  One or more times in the past 12 months 2.3 0.1, 12.3
  Never 2.3 0.1, 12.3
  Do not know 0.0 0.0, 6.7
  Not applicable 48.8 38.5, 59.2
H Office of the Chief Accountant and Office of Credit Ratings Daily 0.0 0.0, 12.7
  One or more times a week 4.5 0.1, 22.8
  One or more times a month . Data Not Reported
  One or more times in the past 12 months . Data Not Reported
  Never . Data Not Reported
  Do not know 4.5 0.1, 22.8
  Not applicable 0.0 0.0, 12.7
I Compliance Inspections and Examinations Daily 0.0 0.0, 2.1
  One or more times a week 1.4 0.2, 5.0
  One or more times a month 8.3 4.3, 14.2
  One or more times in the past 12 months 50.8 42.7, 58.9
  Never 36.2 28.4, 43.9
  Do not know 1.0 0.0, 4.8
  Not applicable 2.4 0.5, 6.6
J Information Technology Daily 2.4 0.1, 12.9
  One or more times a week 4.9 0.6, 16.5
  One or more times a month 12.2 4.1, 26.2
  One or more times in the past 12 months 29.3 16.1, 45.5
  Never . Data Not Reported
  Do not know 2.4 0.1, 12.9
  Not applicable 14.6 5.6, 29.2
K Trading and Markets Daily 2.1 0.1, 11.3
  One or more times a week 14.9 6.2, 28.3
  One or more times a month 23.4 12.3, 38.0
  One or more times in the past 12 months 23.4 12.3, 38.0
  Never 31.9 19.1, 47.1
  Do not know 0.0 0.0, 6.2
  Not applicable 4.3 0.5, 14.5
L Enforcement Regional Offices Daily 0.0 0.0, 3.4
  One or more times a week 0.0 0.0, 3.4
  One or more times a month 14.9 8.2, 24.2
  One or more times in the past 12 months 59.8 50.5, 69.1
  Never 21.8 13.7, 32.0
  Do not know 0.0 0.0, 3.4
  Not applicable 3.4 0.7, 9.7
M Enforcement Headquarters Daily 0.0 0.0, 4.6
  One or more times a week 1.6 0.0, 8.4
  One or more times a month 12.5 5.6, 23.2
  One or more times in the past 12 months 50.0 39.5, 60.5
  Never 34.4 22.9, 47.3
  Do not know 0.0 0.0, 4.6
  Not applicable 1.6 0.0, 8.4
N Compliance Inspections and Examinations Regional Offices Daily 0.0 0.0, 3.8
  One or more times a week 1.3 0.0, 7.0
  One or more times a month 5.2 1.4, 12.8
  One or more times in the past 12 months 55.8 45.8, 65.9
  Never 33.8 24.2, 43.4
  Do not know 1.3 0.0, 7.0
  Not applicable 2.6 0.3, 9.1
O Compliance Inspections and Examinations Headquarters Daily 0.0 0.0, 4.6
  One or more times a week 1.6 0.0, 8.5
  One or more times a month 19.0 10.2, 30.9
  One or more times in the past 12 months 33.3 22.0, 46.3
  Never 44.4 35.2, 53.7
  Do not know 0.0 0.0, 4.6
  Not applicable 1.6 0.0, 8.5

11e. Division of Trading and Markets

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Daily 2.6 1.4, 4.3
  One or more times a week 3.3 2.0, 5.2
  One or more times a month 11.2 8.7, 14.2
  One or more times in the past 12 months 39.2 35.4, 42.9
  Never 35.5 31.9, 39.1
  Do not know 2.0 1.0, 3.6
  Not applicable 6.1 4.3, 8.5
B Entry or Mid-Level Non-Supervisors Daily 2.2 1.1, 4.1
  One or more times a week 2.7 1.4, 4.7
  One or more times a month 10.3 7.6, 13.6
  One or more times in the past 12 months 39.4 35.2, 43.5
  Never 36.7 32.6, 40.7
  Do not know 2.4 1.2, 4.3
  Not applicable 6.3 4.2, 9.0
C Supervisors Daily 4.0 1.2, 9.5
  One or more times a week 6.0 2.3, 12.2
  One or more times a month 14.8 8.8, 22.8
  One or more times in the past 12 months 38.3 29.7, 46.9
  Never 31.0 22.7, 39.3
  Do not know 0.6 0.0, 5.0
  Not applicable 5.4 2.0, 11.4
D Corporation Finance Daily 0.0 0.0, 4.2
  One or more times a week 1.4 0.0, 7.7
  One or more times a month 7.1 2.4, 15.9
  One or more times in the past 12 months 27.1 17.2, 39.1
  Never 61.4 51.8, 71.1
  Do not know 0.0 0.0, 4.2
  Not applicable 2.9 0.3, 9.9
E Division of Economic and Risk Analysis Daily 0.0 0.0, 7.8
  One or more times a week 18.9 8.0, 35.2
  One or more times a month 18.9 8.0, 35.2
  One or more times in the past 12 months . Data Not Reported
  Never 24.3 11.8, 41.2
  Do not know 0.0 0.0, 7.8
  Not applicable 2.7 0.1, 14.2
F Enforcement Daily 0.0 0.0, 2.0
  One or more times a week 1.2 0.1, 4.6
  One or more times a month 15.2 9.9, 22.0
  One or more times in the past 12 months 57.7 50.7, 64.6
  Never 21.0 14.7, 28.4
  Do not know 2.1 0.5, 5.9
  Not applicable 2.8 0.8, 6.8
G Investment Management Daily 2.4 0.1, 12.6
  One or more times a week 14.3 5.4, 28.5
  One or more times a month 19.0 8.6, 34.1
  One or more times in the past 12 months . Data Not Reported
  Never 26.2 13.9, 42.0
  Do not know 2.4 0.1, 12.6
  Not applicable 0.0 0.0, 6.9
H Office of the Chief Accountant and Office of Credit Ratings Daily 0.0 0.0, 12.7
  One or more times a week 4.5 0.1, 22.8
  One or more times a month 9.1 1.1, 29.2
  One or more times in the past 12 months . Data Not Reported
  Never . Data Not Reported
  Do not know 4.5 0.1, 22.8
  Not applicable 0.0 0.0, 12.7
I Compliance Inspections and Examinations Daily 0.0 0.0, 2.1
  One or more times a week 2.1 0.4, 6.1
  One or more times a month 7.8 3.9, 13.5
  One or more times in the past 12 months 34.0 26.3, 41.7
  Never 49.0 40.9, 57.0
  Do not know 2.4 0.5, 6.6
  Not applicable 4.7 1.8, 9.8
J Information Technology Daily 2.4 0.1, 12.9
  One or more times a week 2.4 0.1, 12.9
  One or more times a month 12.2 4.1, 26.2
  One or more times in the past 12 months 29.3 16.1, 45.5
  Never . Data Not Reported
  Do not know 7.3 1.5, 19.9
  Not applicable 4.9 0.6, 16.5
K Trading and Markets Daily 36.2 22.7, 51.5
  One or more times a week 8.5 2.4, 20.4
  One or more times a month 4.3 0.5, 14.5
  One or more times in the past 12 months 4.3 0.5, 14.5
  Never 0.0 0.0, 6.2
  Do not know 0.0 0.0, 6.2
  Not applicable 46.8 36.1, 57.5
L Enforcement Regional Offices Daily 0.0 0.0, 3.5
  One or more times a week 0.0 0.0, 3.5
  One or more times a month 12.9 6.6, 22.0
  One or more times in the past 12 months 64.7 55.6, 73.9
  Never 15.3 8.4, 24.7
  Do not know 3.5 0.7, 10.0
  Not applicable 3.5 0.7, 10.0
M Enforcement Headquarters Daily 0.0 0.0, 4.6
  One or more times a week 3.1 0.4, 10.8
  One or more times a month 18.7 10.1, 30.5
  One or more times in the past 12 months 46.9 36.4, 57.3
  Never 29.7 18.9, 42.4
  Do not know 0.0 0.0, 4.6
  Not applicable 1.6 0.0, 8.4
N Compliance Inspections and Examinations Regional Offices Daily 0.0 0.0, 3.8
  One or more times a week 0.0 0.0, 3.8
  One or more times a month 1.3 0.0, 7.0
  One or more times in the past 12 months 33.8 24.2, 43.4
  Never 57.1 47.1, 67.2
  Do not know 2.6 0.3, 9.1
  Not applicable 5.2 1.4, 12.8
O Compliance Inspections and Examinations Headquarters Daily 0.0 0.0, 4.6
  One or more times a week 9.5 3.6, 19.6
  One or more times a month 30.2 19.2, 43.0
  One or more times in the past 12 months 34.9 23.3, 48.0
  Never 20.6 11.5, 32.7
  Do not know 1.6 0.0, 8.5
  Not applicable 3.2 0.4, 11.0

11f. Division of Economic and Risk Analysis

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Daily 2.0 1.0, 3.5
  One or more times a week 4.7 3.1, 6.8
  One or more times a month 11.6 9.3, 14.0
  One or more times in the past 12 months 31.4 28.0, 34.8
  Never 44.2 40.7, 47.8
  Do not know 1.1 0.4, 2.3
  Not applicable 5.0 3.4, 7.2
B Entry or Mid-Level Non-Supervisors Daily 2.2 1.1, 4.1
  One or more times a week 4.6 2.9, 7.0
  One or more times a month 10.2 7.6, 13.4
  One or more times in the past 12 months 31.0 27.2, 34.9
  Never 45.6 41.5, 49.7
  Do not know 1.1 0.3, 2.6
  Not applicable 5.2 3.3, 7.8
C Supervisors Daily 0.9 0.0, 4.9
  One or more times a week 4.7 1.6, 10.5
  One or more times a month 17.1 10.7, 25.4
  One or more times in the past 12 months 33.0 25.0, 41.0
  Never 39.0 30.5, 47.5
  Do not know 1.1 0.0, 5.2
  Not applicable 4.2 1.3, 9.7
D Corporation Finance Daily 1.4 0.0, 7.6
  One or more times a week 2.8 0.3, 9.8
  One or more times a month 2.8 0.3, 9.8
  One or more times in the past 12 months 12.7 6.0, 22.7
  Never 76.1 64.5, 85.4
  Do not know 0.0 0.0, 4.1
  Not applicable 4.2 0.9, 11.9
E Division of Economic and Risk Analysis Daily . Data Not Reported
  One or more times a week 0.0 0.0, 7.8
  One or more times a month 5.4 0.7, 18.2
  One or more times in the past 12 months 0.0 0.0, 7.8
  Never 0.0 0.0, 7.8
  Do not know 0.0 0.0, 7.8
  Not applicable 48.6 38.6, 58.7
F Enforcement Daily 0.0 0.0, 2.0
  One or more times a week 3.1 1.0, 7.3
  One or more times a month 17.0 11.4, 24.0
  One or more times in the past 12 months 52.5 45.5, 59.6
  Never 24.6 18.5, 30.7
  Do not know 0.0 0.0, 2.0
  Not applicable 2.7 0.8, 6.7
G Investment Management Daily 2.4 0.1, 12.9
  One or more times a week 14.6 5.6, 29.2
  One or more times a month 12.2 4.1, 26.2
  One or more times in the past 12 months 22.0 10.6, 37.6
  Never . Data Not Reported
  Do not know 4.9 0.6, 16.5
  Not applicable 0.0 0.0, 7.0
H Office of the Chief Accountant and Office of Credit Ratings Daily 0.0 0.0, 12.7
  One or more times a week 0.0 0.0, 12.7
  One or more times a month . Data Not Reported
  One or more times in the past 12 months . Data Not Reported
  Never . Data Not Reported
  Do not know 4.5 0.1, 22.8
  Not applicable 0.0 0.0, 12.7
I Compliance Inspections and Examinations Daily 0.0 0.0, 2.1
  One or more times a week 1.1 0.1, 4.5
  One or more times a month 4.8 1.9, 9.8
  One or more times in the past 12 months 19.0 12.8, 26.5
  Never 68.7 61.5, 75.8
  Do not know 1.7 0.3, 5.5
  Not applicable 4.8 1.8, 9.8
J Information Technology Daily 0.0 0.0, 6.7
  One or more times a week 14.0 5.3, 27.9
  One or more times a month 9.3 2.6, 22.1
  One or more times in the past 12 months . Data Not Reported
  Never 25.6 13.5, 41.2
  Do not know 4.7 0.6, 15.8
  Not applicable 9.3 2.6, 22.1
K Trading and Markets Daily 2.1 0.1, 11.3
  One or more times a week 23.4 12.3, 38.0
  One or more times a month 31.9 19.1, 47.1
  One or more times in the past 12 months 27.7 15.6, 42.6
  Never 14.9 6.2, 28.3
  Do not know 0.0 0.0, 6.2
  Not applicable 0.0 0.0, 6.2
L Enforcement Regional Offices Daily 0.0 0.0, 3.4
  One or more times a week 1.1 0.0, 6.2
  One or more times a month 14.9 8.2, 24.2
  One or more times in the past 12 months 55.2 45.8, 64.6
  Never 25.3 16.6, 35.7
  Do not know 0.0 0.0, 3.4
  Not applicable 3.4 0.7, 9.7
M Enforcement Headquarters Daily 0.0 0.0, 4.6
  One or more times a week 6.2 1.7, 15.2
  One or more times a month 20.3 11.3, 32.2
  One or more times in the past 12 months 48.4 38.0, 58.9
  Never 23.4 13.8, 35.7
  Do not know 0.0 0.0, 4.6
  Not applicable 1.6 0.0, 8.4
N Compliance Inspections and Examinations Regional Offices Daily 0.0 0.0, 3.8
  One or more times a week 0.0 0.0, 3.8
  One or more times a month 3.9 0.8, 11.0
  One or more times in the past 12 months 14.3 7.4, 24.1
  Never 75.3 64.2, 84.4
  Do not know 1.3 0.0, 7.0
  Not applicable 5.2 1.4, 12.8
O Compliance Inspections and Examinations Headquarters Daily 0.0 0.0, 4.7
  One or more times a week 4.8 1.0, 13.5
  One or more times a month 8.1 2.7, 17.8
  One or more times in the past 12 months 35.5 23.7, 48.7
  Never 45.2 35.8, 54.5
  Do not know 3.2 0.4, 11.2
  Not applicable 3.2 0.4, 11.2

11g. Office of Credit Ratings

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Daily 0.2 0.0, 1.1
  One or more times a week 0.4 0.0, 1.5
  One or more times a month 1.6 0.8, 3.1
  One or more times in the past 12 months 5.8 4.0, 8.1
  Never 83.5 80.8, 86.2
  Do not know 2.4 1.3, 4.0
  Not applicable 6.1 4.2, 8.4
B Entry or Mid-Level Non-Supervisors Daily 0.1 0.0, 1.3
  One or more times a week 0.5 0.1, 1.8
  One or more times a month 0.9 0.2, 2.3
  One or more times in the past 12 months 4.9 3.0, 7.3
  Never 84.7 81.7, 87.7
  Do not know 2.8 1.5, 4.9
  Not applicable 6.1 4.0, 8.7
C Supervisors Daily 0.5 0.0, 4.9
  One or more times a week 0.0 0.0, 2.6
  One or more times a month 4.6 1.5, 10.3
  One or more times in the past 12 months 9.4 4.7, 16.4
  Never 78.8 70.1, 85.9
  Do not know 0.6 0.0, 4.9
  Not applicable 6.1 2.4, 12.2
D Corporation Finance Daily 0.0 0.0, 4.1
  One or more times a week 0.0 0.0, 4.1
  One or more times a month 1.4 0.0, 7.6
  One or more times in the past 12 months 4.2 0.9, 11.9
  Never 90.1 80.7, 95.9
  Do not know 0.0 0.0, 4.1
  Not applicable 4.2 0.9, 11.9
E Division of Economic and Risk Analysis Daily 0.0 0.0, 7.8
  One or more times a week 2.7 0.1, 14.2
  One or more times a month 0.0 0.0, 7.8
  One or more times in the past 12 months 8.1 1.7, 21.9
  Never . Data Not Reported
  Do not know 8.1 1.7, 21.9
  Not applicable 8.1 1.7, 21.9
F Enforcement Daily 0.0 0.0, 2.0
  One or more times a week 0.0 0.0, 2.0
  One or more times a month 3.3 1.0, 7.6
  One or more times in the past 12 months 5.6 2.4, 10.6
  Never 83.5 76.5, 89.2
  Do not know 3.5 1.1, 7.9
  Not applicable 4.2 1.6, 8.9
G Investment Management Daily 0.0 0.0, 6.7
  One or more times a week 0.0 0.0, 6.7
  One or more times a month 0.0 0.0, 6.7
  One or more times in the past 12 months 4.7 0.6, 15.8
  Never 95.3 84.2, 99.4
  Do not know 0.0 0.0, 6.7
  Not applicable 0.0 0.0, 6.7
H Office of the Chief Accountant and Office of Credit Ratings Daily 9.5 1.2, 30.4
  One or more times a week 0.0 0.0, 13.3
  One or more times a month 0.0 0.0, 13.3
  One or more times in the past 12 months 9.5 1.2, 30.4
  Never . Data Not Reported
  Do not know 0.0 0.0, 13.3
  Not applicable . Data Not Reported
I Compliance Inspections and Examinations Daily 0.0 0.0, 2.1
  One or more times a week 1.0 0.0, 4.8
  One or more times a month 0.4 0.0, 3.9
  One or more times in the past 12 months 3.4 1.1, 8.0
  Never 88.7 82.3, 93.5
  Do not know 1.4 0.2, 5.0
  Not applicable 5.1 2.1, 10.2
J Information Technology Daily 0.0 0.0, 6.9
  One or more times a week 0.0 0.0, 6.9
  One or more times a month 4.8 0.6, 16.2
  One or more times in the past 12 months 9.5 2.7, 22.6
  Never . Data Not Reported
  Do not know 7.1 1.5, 19.5
  Not applicable 14.3 5.4, 28.5
K Trading and Markets Daily 0.0 0.0, 6.2
  One or more times a week 0.0 0.0, 6.2
  One or more times a month 0.0 0.0, 6.2
  One or more times in the past 12 months 17.0 7.6, 30.8
  Never 72.3 57.4, 84.4
  Do not know 2.1 0.1, 11.3
  Not applicable 8.5 2.4, 20.4
L Enforcement Regional Offices Daily 0.0 0.0, 3.5
  One or more times a week 0.0 0.0, 3.5
  One or more times a month 1.2 0.0, 6.5
  One or more times in the past 12 months 6.0 2.0, 13.5
  Never 84.3 74.7, 91.4
  Do not know 3.6 0.8, 10.2
  Not applicable 4.8 1.3, 11.9
M Enforcement Headquarters Daily 0.0 0.0, 4.7
  One or more times a week 0.0 0.0, 4.7
  One or more times a month 6.5 1.8, 15.7
  One or more times in the past 12 months 4.8 1.0, 13.5
  Never 82.3 70.5, 90.8
  Do not know 3.2 0.4, 11.2
  Not applicable 3.2 0.4, 11.2
N Compliance Inspections and Examinations Regional Offices Daily 0.0 0.0, 3.8
  One or more times a week 1.3 0.0, 7.0
  One or more times a month 0.0 0.0, 3.8
  One or more times in the past 12 months 2.6 0.3, 9.1
  Never 89.6 80.6, 95.4
  Do not know 1.3 0.0, 7.0
  Not applicable 5.2 1.4, 12.8
O Compliance Inspections and Examinations Headquarters Daily 0.0 0.0, 4.6
  One or more times a week 0.0 0.0, 4.6
  One or more times a month 1.6 0.0, 8.5
  One or more times in the past 12 months 6.3 1.8, 15.5
  Never 85.7 74.6, 93.3
  Do not know 1.6 0.0, 8.5
  Not applicable 4.8 1.0, 13.3

11h. Office of Information Technology

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Daily 3.7 2.3, 5.7
  One or more times a week 7.4 5.3, 9.9
  One or more times a month 31.4 27.9, 34.9
  One or more times in the past 12 months 29.1 25.5, 32.7
  Never 24.2 20.8, 27.6
  Do not know 1.5 0.7, 2.9
  Not applicable 2.7 1.5, 4.4
B Entry or Mid-Level Non-Supervisors Daily 3.3 1.8, 5.4
  One or more times a week 7.9 5.6, 10.8
  One or more times a month 31.2 27.2, 35.1
  One or more times in the past 12 months 27.7 23.8, 31.6
  Never 25.2 21.4, 29.0
  Do not know 1.9 0.8, 3.6
  Not applicable 2.9 1.6, 5.0
C Supervisors Daily 5.6 2.1, 11.6
  One or more times a week 5.4 2.0, 11.3
  One or more times a month 32.4 24.5, 40.3
  One or more times in the past 12 months 34.5 26.0, 42.9
  Never 20.5 13.4, 29.1
  Do not know 0.0 0.0, 2.6
  Not applicable 1.7 0.2, 6.1
D Corporation Finance Daily 1.4 0.0, 7.6
  One or more times a week 4.2 0.9, 11.9
  One or more times a month 29.6 19.3, 41.6
  One or more times in the past 12 months 35.2 25.8, 44.6
  Never 29.6 19.3, 41.6
  Do not know 0.0 0.0, 4.1
  Not applicable 0.0 0.0, 4.1
E Division of Economic and Risk Analysis Daily 0.0 0.0, 7.8
  One or more times a week 10.8 3.0, 25.4
  One or more times a month . Data Not Reported
  One or more times in the past 12 months . Data Not Reported
  Never 16.2 6.2, 32.0
  Do not know 2.7 0.1, 14.2
  Not applicable 0.0 0.0, 7.8
F Enforcement Daily 0.6 0.0, 3.7
  One or more times a week 9.0 4.9, 14.8
  One or more times a month 42.9 35.8, 49.9
  One or more times in the past 12 months 28.6 22.2, 35.1
  Never 15.3 9.9, 22.1
  Do not know 2.1 0.5, 5.9
  Not applicable 1.4 0.2, 4.9
G Investment Management Daily 2.3 0.1, 12.3
  One or more times a week 4.7 0.6, 15.8
  One or more times a month . Data Not Reported
  One or more times in the past 12 months 23.3 11.8, 38.6
  Never 30.2 17.2, 46.1
  Do not know 0.0 0.0, 6.7
  Not applicable 0.0 0.0, 6.7
H Office of the Chief Accountant and Office of Credit Ratings Daily 0.0 0.0, 12.7
  One or more times a week 4.5 0.1, 22.8
  One or more times a month . Data Not Reported
  One or more times in the past 12 months . Data Not Reported
  Never . Data Not Reported
  Do not know 0.0 0.0, 12.7
  Not applicable 4.5 0.1, 22.8
I Compliance Inspections and Examinations Daily 1.4 0.2, 5.0
  One or more times a week 4.8 1.9, 9.8
  One or more times a month 20.9 14.5, 28.6
  One or more times in the past 12 months 30.8 23.2, 38.5
  Never 36.6 28.7, 44.6
  Do not know 1.7 0.3, 5.5
  Not applicable 3.7 1.3, 8.4
J Information Technology Daily 53.5 43.0, 64.0
  One or more times a week 11.6 3.9, 25.1
  One or more times a month 9.3 2.6, 22.1
  One or more times in the past 12 months 7.0 1.5, 19.1
  Never 0.0 0.0, 6.7
  Do not know 0.0 0.0, 6.7
  Not applicable 18.6 8.4, 33.4
K Trading and Markets Daily 2.2 0.1, 11.5
  One or more times a week 15.2 6.3, 28.9
  One or more times a month 30.4 17.7, 45.8
  One or more times in the past 12 months 28.3 16.0, 43.5
  Never 21.7 10.9, 36.4
  Do not know 2.2 0.1, 11.5
  Not applicable 0.0 0.0, 6.3
L Enforcement Regional Offices Daily 0.0 0.0, 3.4
  One or more times a week 4.7 1.3, 11.5
  One or more times a month 41.9 32.5, 51.3
  One or more times in the past 12 months 33.7 24.7, 42.7
  Never 14.0 7.4, 23.1
  Do not know 3.5 0.7, 9.9
  Not applicable 2.3 0.3, 8.1
M Enforcement Headquarters Daily 1.6 0.0, 8.5
  One or more times a week 15.9 7.9, 27.3
  One or more times a month 44.4 34.0, 54.9
  One or more times in the past 12 months 20.6 11.5, 32.7
  Never 17.5 9.1, 29.1
  Do not know 0.0 0.0, 4.6
  Not applicable 0.0 0.0, 4.6
N Compliance Inspections and Examinations Regional Offices Daily 1.3 0.0, 7.0
  One or more times a week 3.9 0.8, 11.0
  One or more times a month 16.9 9.3, 27.1
  One or more times in the past 12 months 33.8 24.2, 43.4
  Never 39.0 29.1, 48.9
  Do not know 1.3 0.0, 7.0
  Not applicable 3.9 0.8, 11.0
O Compliance Inspections and Examinations Headquarters Daily 1.6 0.0, 8.5
  One or more times a week 7.9 2.6, 17.6
  One or more times a month 34.9 23.3, 48.0
  One or more times in the past 12 months 20.6 11.5, 32.7
  Never 28.6 17.9, 41.3
  Do not know 3.2 0.4, 11.0
  Not applicable 3.2 0.4, 11.0

11i. Office of the Chief Accountant

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Daily 0.3 0.0, 1.2
  One or more times a week 1.2 0.5, 2.5
  One or more times a month 6.5 4.6, 8.9
  One or more times in the past 12 months 30.3 27.0, 33.7
  Never 55.8 52.2, 59.3
  Do not know 1.3 0.5, 2.6
  Not applicable 4.6 3.0, 6.7
B Entry or Mid-Level Non-Supervisors Daily 0.4 0.0, 1.5
  One or more times a week 1.2 0.4, 2.8
  One or more times a month 5.9 3.9, 8.5
  One or more times in the past 12 months 28.3 24.6, 32.1
  Never 57.7 53.7, 61.8
  Do not know 1.5 0.6, 3.1
  Not applicable 5.0 3.2, 7.5
C Supervisors Daily 0.0 0.0, 2.6
  One or more times a week 1.0 0.0, 5.1
  One or more times a month 8.9 4.4, 15.8
  One or more times in the past 12 months 38.1 29.9, 46.3
  Never 48.3 39.9, 56.7
  Do not know 0.6 0.0, 4.8
  Not applicable 3.1 0.7, 8.2
D Corporation Finance Daily 1.4 0.0, 7.5
  One or more times a week 2.8 0.3, 9.7
  One or more times a month 16.7 8.9, 27.3
  One or more times in the past 12 months 40.3 30.7, 49.9
  Never 36.1 26.7, 45.5
  Do not know 0.0 0.0, 4.1
  Not applicable 2.8 0.3, 9.7
E Division of Economic and Risk Analysis Daily 0.0 0.0, 8.0
  One or more times a week 2.8 0.1, 14.5
  One or more times a month 2.8 0.1, 14.5
  One or more times in the past 12 months 16.7 6.4, 32.8
  Never . Data Not Reported
  Do not know 8.3 1.8, 22.5
  Not applicable 8.3 1.8, 22.5
F Enforcement Daily 0.0 0.0, 2.0
  One or more times a week 1.8 0.3, 5.5
  One or more times a month 8.9 4.9, 14.7
  One or more times in the past 12 months 52.4 45.4, 59.4
  Never 35.5 28.7, 42.3
  Do not know 0.0 0.0, 2.0
  Not applicable 1.3 0.2, 4.7
G Investment Management Daily 0.0 0.0, 6.9
  One or more times a week 2.4 0.1, 12.6
  One or more times a month 14.3 5.4, 28.5
  One or more times in the past 12 months 23.8 12.1, 39.5
  Never . Data Not Reported
  Do not know 0.0 0.0, 6.9
  Not applicable 0.0 0.0, 6.9
H Office of the Chief Accountant and Office of Credit Ratings Daily 4.5 0.1, 22.8
  One or more times a week 0.0 0.0, 12.7
  One or more times a month 0.0 0.0, 12.7
  One or more times in the past 12 months . Data Not Reported
  Never . Data Not Reported
  Do not know 4.5 0.1, 22.8
  Not applicable . Data Not Reported
I Compliance Inspections and Examinations Daily 0.0 0.0, 2.1
  One or more times a week 0.0 0.0, 2.1
  One or more times a month 0.0 0.0, 2.1
  One or more times in the past 12 months 9.4 5.2, 15.5
  Never 84.5 77.5, 90.0
  Do not know 1.3 0.2, 4.9
  Not applicable 4.7 1.8, 9.7
J Information Technology Daily 0.0 0.0, 7.0
  One or more times a week 0.0 0.0, 7.0
  One or more times a month 4.9 0.6, 16.5
  One or more times in the past 12 months 4.9 0.6, 16.5
  Never . Data Not Reported
  Do not know 7.3 1.5, 19.9
  Not applicable 14.6 5.6, 29.2
K Trading and Markets Daily 0.0 0.0, 6.3
  One or more times a week 0.0 0.0, 6.3
  One or more times a month 4.3 0.5, 14.8
  One or more times in the past 12 months 26.1 14.3, 41.1
  Never 60.9 45.4, 74.9
  Do not know 2.2 0.1, 11.5
  Not applicable 6.5 1.4, 17.9
L Enforcement Regional Offices Daily 0.0 0.0, 3.4
  One or more times a week 0.0 0.0, 3.4
  One or more times a month 3.5 0.7, 9.9
  One or more times in the past 12 months 60.5 51.2, 69.8
  Never 34.9 25.8, 44.0
  Do not know 0.0 0.0, 3.4
  Not applicable 1.2 0.0, 6.3
M Enforcement Headquarters Daily 0.0 0.0, 4.6
  One or more times a week 4.8 1.0, 13.3
  One or more times a month 17.5 9.1, 29.1
  One or more times in the past 12 months 39.7 29.4, 50.0
  Never 36.5 26.3, 46.7
  Do not know 0.0 0.0, 4.6
  Not applicable 1.6 0.0, 8.5
N Compliance Inspections and Examinations Regional Offices Daily 0.0 0.0, 3.8
  One or more times a week 0.0 0.0, 3.8
  One or more times a month 0.0 0.0, 3.8
  One or more times in the past 12 months 9.0 3.7, 17.6
  Never 84.6 74.7, 91.8
  Do not know 1.3 0.0, 6.9
  Not applicable 5.1 1.4, 12.6
O Compliance Inspections and Examinations Headquarters Daily 0.0 0.0, 4.6
  One or more times a week 0.0 0.0, 4.6
  One or more times a month 0.0 0.0, 4.6
  One or more times in the past 12 months 11.1 4.6, 21.6
  Never 84.1 72.7, 92.1
  Do not know 1.6 0.0, 8.5
  Not applicable 3.2 0.4, 11.0

12. In which location do you currently work?

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Headquarters 49.5 46.9, 52.0
  A regional office 50.5 48.0, 53.1
B Entry or Mid-Level Non-Supervisors Headquarters 50.0 46.8, 53.2
  A regional office 50.0 46.8, 53.2
C Supervisors Headquarters 47.3 39.2, 55.3
  A regional office 52.7 44.7, 60.8
D Corporation Finance Headquarters 100.0 95.9,100.0
  A regional office 0.0 0.0, 4.1
E Division of Economic and Risk Analysis Headquarters 81.1 64.8, 92.0
  A regional office 18.9 8.0, 35.2
F Enforcement Headquarters 35.5 31.2, 39.9
  A regional office 64.5 60.1, 68.8
G Investment Management Headquarters 95.2 83.8, 99.4
  A regional office 4.8 0.6, 16.2
H Office of the Chief Accountant and Office of Credit Ratings Headquarters . Data Not Reported
  A regional office . Data Not Reported
I Compliance Inspections and Examinations Headquarters 15.7 10.1, 22.8
  A regional office 84.3 77.2, 89.9
J Information Technology Headquarters 100.0 93.3,100.0
  A regional office 0.0 0.0, 6.7
K Trading and Markets Headquarters 93.6 82.5, 98.7
  A regional office 6.4 1.3, 17.5
L Enforcement Regional Offices Headquarters 0.0 0.0, 3.4
  A regional office 100.0 96.6,100.0
M Enforcement Headquarters Headquarters 90.6 80.7, 96.5
  A regional office 9.4 3.5, 19.3
N Compliance Inspections and Examinations Regional Offices Headquarters 2.5 0.3, 8.8
  A regional office 97.5 91.2, 99.7
O Compliance Inspections and Examinations Headquarters Headquarters 63.9 50.6, 75.8
  A regional office 36.1 24.2, 49.4

12a. In the past 12 months, how often, if at all, did you typically communicate with employees in the other division or office within your Regional Office for work-related issues such as to coordinate activities or ask for expert advice? (Select one response per item. If you work in that Office or Division in your Regional Office, select "Not Applicable.")

OCIE

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
Those Answering Regional Office to Q12 Daily 10.5 6.7, 15.5
  One or more times a week 5.5 2.9, 9.5
  One or more times a month 17.4 12.5, 23.2
  One or more times in the past 12 months 33.1 27.2, 38.9
  Never 11.6 7.6, 16.8
  Do not know 0.6 0.0, 2.9
  Not applicable 21.2 16.1, 26.4

Division of Enforcement

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
Those Answering Regional Office to Q12 Daily 13.2 9.0, 18.6
  One or more times a week 5.4 2.8, 9.4
  One or more times a month 10.9 7.0, 15.9
  One or more times in the past 12 months 32.3 26.7, 38.0
  Never 13.8 9.4, 19.2
  Do not know 0.6 0.0, 2.9
  Not applicable 23.7 19.1, 28.4

13. To what extent do you agree or disagree that, in the past 12 months, communication between my division/office and the following divisions/offices is adequate to achieve SEC's mission ? (Select one response per item. If you work in that division or office, select "Not Applicable.")

13a. OCIE

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 23.2 19.9, 26.5
  Somewhat agree 23.7 20.3, 27.0
  Neither agree nor disagree 10.8 8.3, 13.6
  Somewhat disagree 5.4 3.7, 7.7
  Strongly disagree 2.1 1.1, 3.6
  Do not know 22.2 19.4, 25.1
  Not applicable 12.7 10.0, 15.3
B Entry or Mid-Level Non-Supervisors Strongly agree 22.0 18.4, 25.6
  Somewhat agree 22.5 18.9, 26.1
  Neither agree nor disagree 11.6 8.8, 15.0
  Somewhat disagree 6.3 4.3, 9.0
  Strongly disagree 2.1 1.0, 4.0
  Do not know 24.4 21.0, 27.8
  Not applicable 11.0 8.3, 14.3
C Supervisors Strongly agree 28.0 20.3, 35.7
  Somewhat agree 28.3 20.2, 36.3
  Neither agree nor disagree 7.3 3.2, 13.8
  Somewhat disagree 1.9 0.3, 6.5
  Strongly disagree 1.8 0.2, 6.3
  Do not know 13.7 7.9, 21.4
  Not applicable 19.0 12.2, 27.5
D Corporation Finance Strongly agree 5.6 1.5, 13.6
  Somewhat agree 9.7 4.0, 19.0
  Neither agree nor disagree 11.1 4.9, 20.7
  Somewhat disagree 4.2 0.9, 11.7
  Strongly disagree 2.8 0.3, 9.7
  Do not know 59.7 50.1, 69.3
  Not applicable 6.9 2.3, 15.5
E Division of Economic and Risk Analysis Strongly agree 10.8 3.0, 25.4
  Somewhat agree 21.6 9.8, 38.2
  Neither agree nor disagree 13.5 4.5, 28.8
  Somewhat disagree 2.7 0.1, 14.2
  Strongly disagree 0.0 0.0, 7.8
  Do not know . Data Not Reported
  Not applicable 8.1 1.7, 21.9
F Enforcement Strongly agree 29.8 23.3, 36.3
  Somewhat agree 27.6 21.2, 33.9
  Neither agree nor disagree 12.4 7.6, 18.7
  Somewhat disagree 5.3 2.3, 10.2
  Strongly disagree 1.4 0.2, 4.8
  Do not know 22.2 15.8, 29.7
  Not applicable 1.3 0.2, 4.7
G Investment Management Strongly agree 22.7 11.5, 37.8
  Somewhat agree . Data Not Reported
  Neither agree nor disagree 9.1 2.5, 21.7
  Somewhat disagree 4.5 0.6, 15.5
  Strongly disagree 0.0 0.0, 6.6
  Do not know 25.0 13.2, 40.3
  Not applicable 0.0 0.0, 6.6
H Office of the Chief Accountant and Office of Credit Ratings Strongly agree . Data Not Reported
  Somewhat agree 8.7 1.1, 28.0
  Neither agree nor disagree . Data Not Reported
  Somewhat disagree 8.7 1.1, 28.0
  Strongly disagree 0.0 0.0, 12.2
  Do not know . Data Not Reported
  Not applicable 8.7 1.1, 28.0
I Compliance Inspections and Examinations Strongly agree 25.3 18.4, 32.3
  Somewhat agree 23.8 17.1, 31.7
  Neither agree nor disagree 7.0 3.4, 12.7
  Somewhat disagree 3.7 1.2, 8.3
  Strongly disagree 0.4 0.0, 3.9
  Do not know 4.7 1.8, 9.7
  Not applicable 35.0 27.3, 42.8
J Information Technology Strongly agree 21.4 10.3, 36.8
  Somewhat agree 16.7 7.0, 31.4
  Neither agree nor disagree 9.5 2.7, 22.6
  Somewhat disagree 11.9 4.0, 25.6
  Strongly disagree 11.9 4.0, 25.6
  Do not know 26.2 13.9, 42.0
  Not applicable 2.4 0.1, 12.6
K Trading and Markets Strongly agree 17.0 7.6, 30.8
  Somewhat agree 29.8 17.3, 44.9
  Neither agree nor disagree 17.0 7.6, 30.8
  Somewhat disagree 12.8 4.8, 25.7
  Strongly disagree 8.5 2.4, 20.4
  Do not know 14.9 6.2, 28.3
  Not applicable 0.0 0.0, 6.2
L Enforcement Regional Offices Strongly agree 29.9 21.2, 38.6
  Somewhat agree 32.2 23.3, 41.0
  Neither agree nor disagree 10.3 4.8, 18.7
  Somewhat disagree 5.7 1.9, 12.9
  Strongly disagree 2.3 0.3, 8.1
  Do not know 18.4 10.9, 28.1
  Not applicable 1.1 0.0, 6.2
M Enforcement Headquarters Strongly agree 29.7 18.9, 42.4
  Somewhat agree 20.3 11.3, 32.2
  Neither agree nor disagree 15.6 7.8, 26.9
  Somewhat disagree 4.7 1.0, 13.1
  Strongly disagree 0.0 0.0, 4.6
  Do not know 28.1 17.6, 40.8
  Not applicable 1.6 0.0, 8.4
N Compliance Inspections and Examinations Regional Offices Strongly agree 23.1 14.3, 34.0
  Somewhat agree 25.6 16.4, 36.8
  Neither agree nor disagree 7.7 2.9, 16.0
  Somewhat disagree 3.8 0.8, 10.8
  Strongly disagree 0.0 0.0, 3.8
  Do not know 5.1 1.4, 12.6
  Not applicable 34.6 25.0, 44.2
O Compliance Inspections and Examinations Headquarters Strongly agree 33.3 22.0, 46.3
  Somewhat agree 17.5 9.1, 29.1
  Neither agree nor disagree 4.8 1.0, 13.3
  Somewhat disagree 3.2 0.4, 11.0
  Strongly disagree 1.6 0.0, 8.5
  Do not know 3.2 0.4, 11.0
  Not applicable 36.5 27.5, 45.5

13b. Division of Enforcement

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 20.7 17.6, 23.7
  Somewhat agree 29.3 25.8, 32.7
  Neither agree nor disagree 8.2 6.1, 10.8
  Somewhat disagree 6.7 4.8, 9.1
  Strongly disagree 3.4 2.0, 5.2
  Do not know 13.1 10.8, 15.4
  Not applicable 18.7 15.9, 21.4
B Entry or Mid-Level Non-Supervisors Strongly agree 19.6 16.3, 22.8
  Somewhat agree 26.7 22.9, 30.5
  Neither agree nor disagree 8.4 6.0, 11.4
  Somewhat disagree 6.8 4.6, 9.5
  Strongly disagree 2.8 1.5, 4.8
  Do not know 15.4 12.6, 18.2
  Not applicable 20.3 17.0, 23.6
C Supervisors Strongly agree 25.0 17.3, 34.0
  Somewhat agree 39.1 30.7, 47.5
  Neither agree nor disagree 7.4 3.3, 13.9
  Somewhat disagree 6.6 2.8, 12.8
  Strongly disagree 5.5 2.1, 11.4
  Do not know 4.2 1.3, 9.7
  Not applicable 12.3 6.9, 19.8
D Corporation Finance Strongly agree 12.5 5.9, 22.4
  Somewhat agree 40.3 30.7, 49.9
  Neither agree nor disagree 6.9 2.3, 15.5
  Somewhat disagree 6.9 2.3, 15.5
  Strongly disagree 4.2 0.9, 11.7
  Do not know 27.8 17.9, 39.6
  Not applicable 1.4 0.0, 7.5
E Division of Economic and Risk Analysis Strongly agree . Data Not Reported
  Somewhat agree 16.2 6.2, 32.0
  Neither agree nor disagree 5.4 0.7, 18.2
  Somewhat disagree 5.4 0.7, 18.2
  Strongly disagree 0.0 0.0, 7.8
  Do not know . Data Not Reported
  Not applicable 2.7 0.1, 14.2
F Enforcement Strongly agree 24.3 18.3, 30.4
  Somewhat agree 14.6 9.4, 21.3
  Neither agree nor disagree 4.7 1.9, 9.4
  Somewhat disagree 0.7 0.0, 3.7
  Strongly disagree 0.7 0.0, 3.7
  Do not know 3.4 1.1, 7.7
  Not applicable 51.6 44.5, 58.6
G Investment Management Strongly agree 27.9 15.3, 43.7
  Somewhat agree 23.3 11.8, 38.6
  Neither agree nor disagree 9.3 2.6, 22.1
  Somewhat disagree 9.3 2.6, 22.1
  Strongly disagree 0.0 0.0, 6.7
  Do not know 30.2 17.2, 46.1
  Not applicable 0.0 0.0, 6.7
H Office of the Chief Accountant and Office of Credit Ratings Strongly agree . Data Not Reported
  Somewhat agree . Data Not Reported
  Neither agree nor disagree 4.3 0.1, 21.9
  Somewhat disagree . Data Not Reported
  Strongly disagree 0.0 0.0, 12.2
  Do not know . Data Not Reported
  Not applicable 0.0 0.0, 12.2
I Compliance Inspections and Examinations Strongly agree 16.2 10.5, 23.3
  Somewhat agree 44.8 36.7, 52.9
  Neither agree nor disagree 12.4 7.5, 19.0
  Somewhat disagree 10.1 5.7, 16.3
  Strongly disagree 5.3 2.2, 10.8
  Do not know 10.8 6.2, 17.1
  Not applicable 0.4 0.0, 3.9
J Information Technology Strongly agree 17.1 7.2, 32.1
  Somewhat agree 22.0 10.6, 37.6
  Neither agree nor disagree 7.3 1.5, 19.9
  Somewhat disagree 14.6 5.6, 29.2
  Strongly disagree 14.6 5.6, 29.2
  Do not know 22.0 10.6, 37.6
  Not applicable 2.4 0.1, 12.9
K Trading and Markets Strongly agree 17.0 7.6, 30.8
  Somewhat agree 34.0 20.9, 49.3
  Neither agree nor disagree 12.8 4.8, 25.7
  Somewhat disagree 8.5 2.4, 20.4
  Strongly disagree 4.3 0.5, 14.5
  Do not know 21.3 10.7, 35.7
  Not applicable 2.1 0.1, 11.3
L Enforcement Regional Offices Strongly agree 20.7 12.7, 30.7
  Somewhat agree 13.8 7.3, 22.9
  Neither agree nor disagree 4.6 1.3, 11.4
  Somewhat disagree 1.1 0.0, 6.2
  Strongly disagree 1.1 0.0, 6.2
  Do not know 4.6 1.3, 11.4
  Not applicable 54.0 44.6, 63.5
M Enforcement Headquarters Strongly agree 30.2 19.2, 43.0
  Somewhat agree 15.9 7.9, 27.3
  Neither agree nor disagree 4.8 1.0, 13.3
  Somewhat disagree 0.0 0.0, 4.6
  Strongly disagree 0.0 0.0, 4.6
  Do not know 1.6 0.0, 8.5
  Not applicable 47.6 37.1, 58.2
N Compliance Inspections and Examinations Regional Offices Strongly agree 15.4 8.2, 25.3
  Somewhat agree 44.9 34.8, 54.9
  Neither agree nor disagree 12.8 6.3, 22.3
  Somewhat disagree 10.3 4.5, 19.2
  Strongly disagree 6.4 2.1, 14.3
  Do not know 10.3 4.5, 19.2
  Not applicable 0.0 0.0, 3.8
O Compliance Inspections and Examinations Headquarters Strongly agree 19.0 10.2, 30.9
  Somewhat agree 44.4 35.2, 53.7
  Neither agree nor disagree 11.1 4.6, 21.6
  Somewhat disagree 9.5 3.6, 19.6
  Strongly disagree 1.6 0.0, 8.5
  Do not know 12.7 5.6, 23.5
  Not applicable 1.6 0.0, 8.5

13c. Division of Corporation Finance

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 16.6 14.0, 19.3
  Somewhat agree 23.3 20.1, 26.5
  Neither agree nor disagree 14.2 11.4, 17.0
  Somewhat disagree 6.4 4.5, 8.8
  Strongly disagree 1.5 0.7, 2.9
  Do not know 26.5 23.2, 29.9
  Not applicable 11.4 9.3, 13.6
B Entry or Mid-Level Non-Supervisors Strongly agree 15.8 12.8, 18.7
  Somewhat agree 23.7 20.1, 27.3
  Neither agree nor disagree 13.9 10.8, 17.5
  Somewhat disagree 6.8 4.6, 9.5
  Strongly disagree 1.2 0.4, 2.7
  Do not know 27.5 23.7, 31.2
  Not applicable 11.1 8.3, 14.4
C Supervisors Strongly agree 19.9 12.9, 28.5
  Somewhat agree 21.8 14.6, 30.6
  Neither agree nor disagree 15.2 9.1, 23.2
  Somewhat disagree 5.0 1.8, 10.9
  Strongly disagree 2.6 0.5, 7.5
  Do not know 22.9 15.4, 31.8
  Not applicable 12.6 7.0, 20.1
D Corporation Finance Strongly agree 21.1 12.3, 32.4
  Somewhat agree 8.5 3.2, 17.5
  Neither agree nor disagree 1.4 0.0, 7.6
  Somewhat disagree 2.8 0.3, 9.8
  Strongly disagree 1.4 0.0, 7.6
  Do not know 7.0 2.3, 15.7
  Not applicable 57.7 48.0, 67.5
E Division of Economic and Risk Analysis Strongly agree 13.5 4.5, 28.8
  Somewhat agree 10.8 3.0, 25.4
  Neither agree nor disagree 8.1 1.7, 21.9
  Somewhat disagree 18.9 8.0, 35.2
  Strongly disagree 2.7 0.1, 14.2
  Do not know . Data Not Reported
  Not applicable 0.0 0.0, 7.8
F Enforcement Strongly agree 26.0 19.9, 32.1
  Somewhat agree 40.1 33.1, 47.0
  Neither agree nor disagree 12.6 7.8, 19.0
  Somewhat disagree 4.6 1.9, 9.3
  Strongly disagree 0.7 0.0, 3.7
  Do not know 14.7 9.5, 21.4
  Not applicable 1.3 0.2, 4.7
G Investment Management Strongly agree 25.0 13.2, 40.3
  Somewhat agree 27.3 15.0, 42.8
  Neither agree nor disagree 9.1 2.5, 21.7
  Somewhat disagree 6.8 1.4, 18.7
  Strongly disagree 2.3 0.1, 12.0
  Do not know 29.5 16.8, 45.2
  Not applicable 0.0 0.0, 6.6
H Office of the Chief Accountant and Office of Credit Ratings Strongly agree . Data Not Reported
  Somewhat agree . Data Not Reported
  Neither agree nor disagree . Data Not Reported
  Somewhat disagree . Data Not Reported
  Strongly disagree 0.0 0.0, 12.2
  Do not know . Data Not Reported
  Not applicable 4.3 0.1, 21.9
I Compliance Inspections and Examinations Strongly agree 2.4 0.6, 6.5
  Somewhat agree 13.2 8.1, 19.9
  Neither agree nor disagree 20.8 14.3, 28.5
  Somewhat disagree 7.1 3.5, 12.7
  Strongly disagree 1.0 0.0, 4.8
  Do not know 45.0 36.9, 53.1
  Not applicable 10.5 6.0, 16.8
J Information Technology Strongly agree 7.5 1.6, 20.4
  Somewhat agree 10.0 2.8, 23.7
  Neither agree nor disagree 17.5 7.3, 32.8
  Somewhat disagree 15.0 5.7, 29.8
  Strongly disagree 12.5 4.2, 26.8
  Do not know . Data Not Reported
  Not applicable 2.5 0.1, 13.2
K Trading and Markets Strongly agree 19.6 9.4, 33.9
  Somewhat agree 26.1 14.3, 41.1
  Neither agree nor disagree 21.7 10.9, 36.4
  Somewhat disagree 4.3 0.5, 14.8
  Strongly disagree 0.0 0.0, 6.3
  Do not know 23.9 12.6, 38.8
  Not applicable 4.3 0.5, 14.8
L Enforcement Regional Offices Strongly agree 20.7 12.7, 30.7
  Somewhat agree 43.7 34.3, 53.1
  Neither agree nor disagree 12.6 6.5, 21.5
  Somewhat disagree 4.6 1.3, 11.4
  Strongly disagree 1.1 0.0, 6.2
  Do not know 16.1 9.1, 25.5
  Not applicable 1.1 0.0, 6.2
M Enforcement Headquarters Strongly agree 34.4 22.9, 47.3
  Somewhat agree 34.4 22.9, 47.3
  Neither agree nor disagree 12.5 5.6, 23.2
  Somewhat disagree 4.7 1.0, 13.1
  Strongly disagree 0.0 0.0, 4.6
  Do not know 12.5 5.6, 23.2
  Not applicable 1.6 0.0, 8.4
N Compliance Inspections and Examinations Regional Offices Strongly agree 1.3 0.0, 6.9
  Somewhat agree 11.5 5.4, 20.8
  Neither agree nor disagree 23.1 14.3, 34.0
  Somewhat disagree 6.4 2.1, 14.3
  Strongly disagree 1.3 0.0, 6.9
  Do not know 47.4 37.4, 57.5
  Not applicable 9.0 3.7, 17.6
O Compliance Inspections and Examinations Headquarters Strongly agree 6.3 1.8, 15.5
  Somewhat agree 19.0 10.2, 30.9
  Neither agree nor disagree 12.7 5.6, 23.5
  Somewhat disagree 9.5 3.6, 19.6
  Strongly disagree 0.0 0.0, 4.6
  Do not know 36.5 27.5, 45.5
  Not applicable 15.9 7.9, 27.3

13d. Division of Investment Management

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 17.5 14.6, 20.4
  Somewhat agree 27.9 24.4, 31.5
  Neither agree nor disagree 15.3 12.4, 18.3
  Somewhat disagree 5.3 3.6, 7.5
  Strongly disagree 1.7 0.8, 3.2
  Do not know 25.3 22.0, 28.6
  Not applicable 6.9 4.9, 9.3
B Entry or Mid-Level Non-Supervisors Strongly agree 15.7 12.6, 18.8
  Somewhat agree 26.4 22.5, 30.3
  Neither agree nor disagree 15.2 11.9, 18.5
  Somewhat disagree 5.3 3.4, 7.9
  Strongly disagree 1.9 0.8, 3.6
  Do not know 28.0 24.2, 31.8
  Not applicable 7.4 5.2, 10.3
C Supervisors Strongly agree 24.4 16.8, 33.4
  Somewhat agree 33.7 25.4, 42.0
  Neither agree nor disagree 15.8 9.5, 23.9
  Somewhat disagree 5.3 2.0, 11.2
  Strongly disagree 1.1 0.1, 5.2
  Do not know 14.9 8.9, 22.8
  Not applicable 4.8 1.7, 10.6
D Corporation Finance Strongly agree 8.5 3.2, 17.5
  Somewhat agree 23.9 14.6, 35.5
  Neither agree nor disagree 7.0 2.3, 15.7
  Somewhat disagree 4.2 0.9, 11.9
  Strongly disagree 2.8 0.3, 9.8
  Do not know 47.9 38.1, 57.7
  Not applicable 5.6 1.6, 13.8
E Division of Economic and Risk Analysis Strongly agree 16.2 6.2, 32.0
  Somewhat agree 18.9 8.0, 35.2
  Neither agree nor disagree 10.8 3.0, 25.4
  Somewhat disagree 13.5 4.5, 28.8
  Strongly disagree 2.7 0.1, 14.2
  Do not know . Data Not Reported
  Not applicable 5.4 0.7, 18.2
F Enforcement Strongly agree 23.1 16.7, 30.7
  Somewhat agree 29.5 23.0, 35.9
  Neither agree nor disagree 18.5 12.7, 25.6
  Somewhat disagree 2.6 0.7, 6.6
  Strongly disagree 0.7 0.0, 3.7
  Do not know 21.7 15.4, 29.2
  Not applicable 3.8 1.4, 8.3
G Investment Management Strongly agree 22.7 11.5, 37.8
  Somewhat agree 11.4 3.8, 24.6
  Neither agree nor disagree 0.0 0.0, 6.6
  Somewhat disagree 0.0 0.0, 6.6
  Strongly disagree 0.0 0.0, 6.6
  Do not know 4.5 0.6, 15.5
  Not applicable . Data Not Reported
H Office of the Chief Accountant and Office of Credit Ratings Strongly agree . Data Not Reported
  Somewhat agree . Data Not Reported
  Neither agree nor disagree 8.7 1.1, 28.0
  Somewhat disagree 8.7 1.1, 28.0
  Strongly disagree 0.0 0.0, 12.2
  Do not know . Data Not Reported
  Not applicable 4.3 0.1, 21.9
I Compliance Inspections and Examinations Strongly agree 14.4 9.0, 21.2
  Somewhat agree 33.6 26.0, 41.3
  Neither agree nor disagree 18.5 12.4, 26.1
  Somewhat disagree 8.0 4.1, 13.8
  Strongly disagree 1.0 0.0, 4.7
  Do not know 22.1 15.6, 29.8
  Not applicable 2.4 0.6, 6.4
J Information Technology Strongly agree 10.0 2.8, 23.7
  Somewhat agree 12.5 4.2, 26.8
  Neither agree nor disagree 15.0 5.7, 29.8
  Somewhat disagree 7.5 1.6, 20.4
  Strongly disagree 12.5 4.2, 26.8
  Do not know . Data Not Reported
  Not applicable 7.5 1.6, 20.4
K Trading and Markets Strongly agree 14.9 6.2, 28.3
  Somewhat agree 31.9 19.1, 47.1
  Neither agree nor disagree 14.9 6.2, 28.3
  Somewhat disagree 6.4 1.3, 17.5
  Strongly disagree 2.1 0.1, 11.3
  Do not know 21.3 10.7, 35.7
  Not applicable 8.5 2.4, 20.4
L Enforcement Regional Offices Strongly agree 22.7 14.5, 32.9
  Somewhat agree 33.0 24.1, 41.8
  Neither agree nor disagree 18.2 10.8, 27.8
  Somewhat disagree 2.3 0.3, 8.0
  Strongly disagree 1.1 0.0, 6.2
  Do not know 20.5 12.6, 30.4
  Not applicable 2.3 0.3, 8.0
M Enforcement Headquarters Strongly agree 23.8 14.0, 36.2
  Somewhat agree 23.8 14.0, 36.2
  Neither agree nor disagree 19.0 10.2, 30.9
  Somewhat disagree 3.2 0.4, 11.0
  Strongly disagree 0.0 0.0, 4.6
  Do not know 23.8 14.0, 36.2
  Not applicable 6.3 1.8, 15.5
N Compliance Inspections and Examinations Regional Offices Strongly agree 13.9 7.2, 23.5
  Somewhat agree 34.2 24.7, 43.7
  Neither agree nor disagree 21.5 13.1, 32.2
  Somewhat disagree 7.6 2.8, 15.8
  Strongly disagree 1.3 0.0, 6.9
  Do not know 20.3 12.0, 30.8
  Not applicable 1.3 0.0, 6.9
O Compliance Inspections and Examinations Headquarters Strongly agree 15.9 7.9, 27.3
  Somewhat agree 31.7 20.6, 44.7
  Neither agree nor disagree 7.9 2.6, 17.6
  Somewhat disagree 9.5 3.6, 19.6
  Strongly disagree 0.0 0.0, 4.6
  Do not know 28.6 17.9, 41.3
  Not applicable 6.3 1.8, 15.5

13e. Division of Trading and Markets

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 16.9 14.1, 19.7
  Somewhat agree 25.3 22.0, 28.7
  Neither agree nor disagree 13.3 10.7, 16.0
  Somewhat disagree 6.8 4.9, 9.3
  Strongly disagree 2.2 1.2, 3.8
  Do not know 28.7 25.2, 32.2
  Not applicable 6.7 4.7, 9.1
B Entry or Mid-Level Non-Supervisors Strongly agree 15.6 12.6, 18.6
  Somewhat agree 25.4 21.7, 29.2
  Neither agree nor disagree 13.6 10.5, 17.1
  Somewhat disagree 6.3 4.2, 8.9
  Strongly disagree 2.0 0.9, 3.8
  Do not know 30.4 26.4, 34.3
  Not applicable 6.8 4.7, 9.6
C Supervisors Strongly agree 22.0 14.7, 30.8
  Somewhat agree 24.9 17.2, 34.0
  Neither agree nor disagree 12.5 7.0, 20.1
  Somewhat disagree 9.1 4.5, 16.0
  Strongly disagree 3.2 0.8, 8.3
  Do not know 22.3 15.0, 31.1
  Not applicable 6.0 2.4, 12.2
D Corporation Finance Strongly agree 7.0 2.3, 15.7
  Somewhat agree 22.5 13.5, 34.0
  Neither agree nor disagree 8.5 3.2, 17.5
  Somewhat disagree 4.2 0.9, 11.9
  Strongly disagree 2.8 0.3, 9.8
  Do not know 49.3 39.5, 59.1
  Not applicable 5.6 1.6, 13.8
E Division of Economic and Risk Analysis Strongly agree 13.5 4.5, 28.8
  Somewhat agree 24.3 11.8, 41.2
  Neither agree nor disagree 8.1 1.7, 21.9
  Somewhat disagree 16.2 6.2, 32.0
  Strongly disagree 2.7 0.1, 14.2
  Do not know . Data Not Reported
  Not applicable 2.7 0.1, 14.2
F Enforcement Strongly agree 22.8 16.3, 30.4
  Somewhat agree 33.9 27.1, 40.6
  Neither agree nor disagree 16.0 10.5, 22.9
  Somewhat disagree 3.4 1.1, 7.7
  Strongly disagree 1.4 0.2, 4.9
  Do not know 19.8 13.8, 27.2
  Not applicable 2.7 0.7, 6.7
G Investment Management Strongly agree 20.5 9.8, 35.3
  Somewhat agree 29.5 16.8, 45.2
  Neither agree nor disagree 13.6 5.2, 27.4
  Somewhat disagree 4.5 0.6, 15.5
  Strongly disagree 2.3 0.1, 12.0
  Do not know 29.5 16.8, 45.2
  Not applicable 0.0 0.0, 6.6
H Office of the Chief Accountant and Office of Credit Ratings Strongly agree . Data Not Reported
  Somewhat agree 4.3 0.1, 21.9
  Neither agree nor disagree . Data Not Reported
  Somewhat disagree . Data Not Reported
  Strongly disagree 0.0 0.0, 12.2
  Do not know . Data Not Reported
  Not applicable 0.0 0.0, 12.2
I Compliance Inspections and Examinations Strongly agree 11.8 7.0, 18.3
  Somewhat agree 23.2 16.5, 31.0
  Neither agree nor disagree 13.7 8.5, 20.4
  Somewhat disagree 11.6 6.8, 18.1
  Strongly disagree 2.0 0.3, 6.3
  Do not know 33.1 25.4, 40.9
  Not applicable 4.6 1.8, 9.6
J Information Technology Strongly agree 12.5 4.2, 26.8
  Somewhat agree 7.5 1.6, 20.4
  Neither agree nor disagree 17.5 7.3, 32.8
  Somewhat disagree 7.5 1.6, 20.4
  Strongly disagree 12.5 4.2, 26.8
  Do not know . Data Not Reported
  Not applicable 5.0 0.6, 16.9
K Trading and Markets Strongly agree 27.7 15.6, 42.6
  Somewhat agree 12.8 4.8, 25.7
  Neither agree nor disagree 6.4 1.3, 17.5
  Somewhat disagree 0.0 0.0, 6.2
  Strongly disagree 0.0 0.0, 6.2
  Do not know 2.1 0.1, 11.3
  Not applicable 51.1 40.4, 61.8
L Enforcement Regional Offices Strongly agree 22.4 14.0, 32.7
  Somewhat agree 37.6 28.4, 46.9
  Neither agree nor disagree 15.3 8.4, 24.7
  Somewhat disagree 3.5 0.7, 10.0
  Strongly disagree 2.4 0.3, 8.2
  Do not know 16.5 9.3, 26.1
  Not applicable 2.4 0.3, 8.2
M Enforcement Headquarters Strongly agree 23.4 13.8, 35.7
  Somewhat agree 28.1 17.6, 40.8
  Neither agree nor disagree 17.2 8.9, 28.7
  Somewhat disagree 3.1 0.4, 10.8
  Strongly disagree 0.0 0.0, 4.6
  Do not know 25.0 15.0, 37.4
  Not applicable 3.1 0.4, 10.8
N Compliance Inspections and Examinations Regional Offices Strongly agree 8.9 3.6, 17.4
  Somewhat agree 19.0 11.0, 29.4
  Neither agree nor disagree 13.9 7.2, 23.5
  Somewhat disagree 12.7 6.2, 22.0
  Strongly disagree 2.5 0.3, 8.8
  Do not know 38.0 28.2, 47.7
  Not applicable 5.1 1.4, 12.5
O Compliance Inspections and Examinations Headquarters Strongly agree 22.2 12.7, 34.5
  Somewhat agree 38.1 29.0, 47.2
  Neither agree nor disagree 12.7 5.6, 23.5
  Somewhat disagree 7.9 2.6, 17.6
  Strongly disagree 0.0 0.0, 4.6
  Do not know 15.9 7.9, 27.3
  Not applicable 3.2 0.4, 11.0

13f. Division of Economic and Risk Analysis

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 15.8 13.3, 18.4
  Somewhat agree 23.7 20.5, 27.0
  Neither agree nor disagree 13.1 10.4, 15.8
  Somewhat disagree 4.4 2.8, 6.4
  Strongly disagree 1.6 0.7, 3.0
  Do not know 34.9 31.3, 38.6
  Not applicable 6.5 4.6, 8.8
B Entry or Mid-Level Non-Supervisors Strongly agree 15.1 12.2, 17.9
  Somewhat agree 23.1 19.4, 26.7
  Neither agree nor disagree 12.5 9.6, 15.9
  Somewhat disagree 4.1 2.5, 6.4
  Strongly disagree 1.7 0.7, 3.3
  Do not know 37.4 33.3, 41.5
  Not applicable 6.2 4.2, 8.9
C Supervisors Strongly agree 18.8 12.0, 27.4
  Somewhat agree 26.4 18.5, 35.6
  Neither agree nor disagree 15.5 9.3, 23.6
  Somewhat disagree 5.4 1.7, 12.3
  Strongly disagree 1.1 0.1, 5.3
  Do not know 25.2 17.5, 34.4
  Not applicable 7.5 3.4, 14.1
D Corporation Finance Strongly agree 5.6 1.6, 13.8
  Somewhat agree 8.5 3.2, 17.5
  Neither agree nor disagree 9.9 4.1, 19.3
  Somewhat disagree 4.2 0.9, 11.9
  Strongly disagree 2.8 0.3, 9.8
  Do not know 60.6 51.0, 70.2
  Not applicable 8.5 3.2, 17.5
E Division of Economic and Risk Analysis Strongly agree 24.3 11.8, 41.2
  Somewhat agree 8.1 1.7, 21.9
  Neither agree nor disagree 2.7 0.1, 14.2
  Somewhat disagree 5.4 0.7, 18.2
  Strongly disagree 0.0 0.0, 7.8
  Do not know 2.7 0.1, 14.2
  Not applicable . Data Not Reported
F Enforcement Strongly agree 26.8 20.6, 33.0
  Somewhat agree 33.0 26.4, 39.6
  Neither agree nor disagree 12.5 7.7, 18.8
  Somewhat disagree 2.6 0.7, 6.6
  Strongly disagree 0.7 0.0, 3.7
  Do not know 21.8 15.5, 29.2
  Not applicable 2.6 0.7, 6.6
G Investment Management Strongly agree 15.9 6.6, 30.1
  Somewhat agree 22.7 11.5, 37.8
  Neither agree nor disagree 9.1 2.5, 21.7
  Somewhat disagree 4.5 0.6, 15.5
  Strongly disagree 0.0 0.0, 6.6
  Do not know 45.5 35.2, 55.7
  Not applicable 2.3 0.1, 12.0
H Office of the Chief Accountant and Office of Credit Ratings Strongly agree . Data Not Reported
  Somewhat agree . Data Not Reported
  Neither agree nor disagree . Data Not Reported
  Somewhat disagree 4.3 0.1, 21.9
  Strongly disagree 0.0 0.0, 12.2
  Do not know . Data Not Reported
  Not applicable 0.0 0.0, 12.2
I Compliance Inspections and Examinations Strongly agree 2.8 0.8, 7.1
  Somewhat agree 20.6 14.3, 28.2
  Neither agree nor disagree 16.5 10.8, 23.7
  Somewhat disagree 6.3 2.8, 12.1
  Strongly disagree 0.0 0.0, 2.1
  Do not know 46.3 38.2, 54.4
  Not applicable 7.5 3.7, 13.1
J Information Technology Strongly agree 14.3 5.4, 28.5
  Somewhat agree 11.9 4.0, 25.6
  Neither agree nor disagree 11.9 4.0, 25.6
  Somewhat disagree 7.1 1.5, 19.5
  Strongly disagree 14.3 5.4, 28.5
  Do not know . Data Not Reported
  Not applicable 4.8 0.6, 16.2
K Trading and Markets Strongly agree 30.4 17.7, 45.8
  Somewhat agree 34.8 21.4, 50.2
  Neither agree nor disagree 10.9 3.6, 23.6
  Somewhat disagree 2.2 0.1, 11.5
  Strongly disagree 4.3 0.5, 14.8
  Do not know 17.4 7.8, 31.4
  Not applicable 0.0 0.0, 6.3
L Enforcement Regional Offices Strongly agree 25.0 16.4, 35.4
  Somewhat agree 34.1 25.2, 43.0
  Neither agree nor disagree 12.5 6.4, 21.3
  Somewhat disagree 2.3 0.3, 8.0
  Strongly disagree 1.1 0.0, 6.2
  Do not know 22.7 14.5, 32.9
  Not applicable 2.3 0.3, 8.0
M Enforcement Headquarters Strongly agree 29.7 18.9, 42.4
  Somewhat agree 31.3 20.2, 44.1
  Neither agree nor disagree 12.5 5.6, 23.2
  Somewhat disagree 3.1 0.4, 10.8
  Strongly disagree 0.0 0.0, 4.6
  Do not know 20.3 11.3, 32.2
  Not applicable 3.1 0.4, 10.8
N Compliance Inspections and Examinations Regional Offices Strongly agree 0.0 0.0, 3.8
  Somewhat agree 19.2 11.2, 29.7
  Neither agree nor disagree 16.7 9.2, 26.8
  Somewhat disagree 7.7 2.9, 16.0
  Strongly disagree 0.0 0.0, 3.8
  Do not know 50.0 39.9, 60.1
  Not applicable 6.4 2.1, 14.3
O Compliance Inspections and Examinations Headquarters Strongly agree 12.7 5.6, 23.5
  Somewhat agree 25.4 15.3, 37.9
  Neither agree nor disagree 15.9 7.9, 27.3
  Somewhat disagree 1.6 0.0, 8.5
  Strongly disagree 0.0 0.0, 4.6
  Do not know 33.3 22.0, 46.3
  Not applicable 11.1 4.6, 21.6

13g. Office of Credit Ratings

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 5.0 3.3, 7.1
  Somewhat agree 9.1 6.8, 11.8
  Neither agree nor disagree 15.1 12.2, 17.9
  Somewhat disagree 2.6 1.5, 4.3
  Strongly disagree 1.7 0.8, 3.2
  Do not know 54.3 50.4, 58.1
  Not applicable 12.3 9.8, 14.7
B Entry or Mid-Level Non-Supervisors Strongly agree 4.4 2.7, 6.8
  Somewhat agree 8.4 6.0, 11.4
  Neither agree nor disagree 15.0 11.8, 18.2
  Somewhat disagree 2.6 1.3, 4.5
  Strongly disagree 1.3 0.5, 2.9
  Do not know 57.3 53.0, 61.5
  Not applicable 10.9 8.2, 14.2
C Supervisors Strongly agree 7.1 3.1, 13.6
  Somewhat agree 11.7 6.4, 19.2
  Neither agree nor disagree 15.2 9.1, 23.2
  Somewhat disagree 2.8 0.6, 7.9
  Strongly disagree 3.2 0.8, 8.4
  Do not know 42.5 33.7, 51.2
  Not applicable 17.6 11.0, 25.9
D Corporation Finance Strongly agree 5.6 1.6, 13.8
  Somewhat agree 5.6 1.6, 13.8
  Neither agree nor disagree 5.6 1.6, 13.8
  Somewhat disagree 4.2 0.9, 11.9
  Strongly disagree 2.8 0.3, 9.8
  Do not know 64.8 55.4, 74.2
  Not applicable 11.3 5.0, 21.0
E Division of Economic and Risk Analysis Strongly agree 10.8 3.0, 25.4
  Somewhat agree 5.4 0.7, 18.2
  Neither agree nor disagree 10.8 3.0, 25.4
  Somewhat disagree 5.4 0.7, 18.2
  Strongly disagree 0.0 0.0, 7.8
  Do not know . Data Not Reported
  Not applicable 8.1 1.7, 21.9
F Enforcement Strongly agree 7.0 3.5, 12.3
  Somewhat agree 12.6 7.7, 18.9
  Neither agree nor disagree 16.7 11.1, 23.6
  Somewhat disagree 0.7 0.0, 3.7
  Strongly disagree 0.7 0.0, 3.7
  Do not know 52.1 45.1, 59.2
  Not applicable 10.2 5.9, 16.2
G Investment Management Strongly agree 2.3 0.1, 12.3
  Somewhat agree 4.7 0.6, 15.8
  Neither agree nor disagree 9.3 2.6, 22.1
  Somewhat disagree 0.0 0.0, 6.7
  Strongly disagree 0.0 0.0, 6.7
  Do not know 74.4 58.8, 86.5
  Not applicable 9.3 2.6, 22.1
H Office of the Chief Accountant and Office of Credit Ratings Strongly agree . Data Not Reported
  Somewhat agree 0.0 0.0, 12.2
  Neither agree nor disagree . Data Not Reported
  Somewhat disagree 4.3 0.1, 21.9
  Strongly disagree 0.0 0.0, 12.2
  Do not know . Data Not Reported
  Not applicable . Data Not Reported
I Compliance Inspections and Examinations Strongly agree 1.7 0.3, 5.5
  Somewhat agree 8.2 4.2, 14.0
  Neither agree nor disagree 15.9 10.3, 23.1
  Somewhat disagree 4.4 1.6, 9.5
  Strongly disagree 1.7 0.3, 5.5
  Do not know 55.7 47.6, 63.8
  Not applicable 12.3 7.4, 18.9
J Information Technology Strongly agree 5.0 0.6, 16.9
  Somewhat agree 5.0 0.6, 16.9
  Neither agree nor disagree 12.5 4.2, 26.8
  Somewhat disagree 5.0 0.6, 16.9
  Strongly disagree 12.5 4.2, 26.8
  Do not know 47.5 36.6, 58.4
  Not applicable 12.5 4.2, 26.8
K Trading and Markets Strongly agree 2.1 0.1, 11.3
  Somewhat agree 12.8 4.8, 25.7
  Neither agree nor disagree 27.7 15.6, 42.6
  Somewhat disagree 0.0 0.0, 6.2
  Strongly disagree 0.0 0.0, 6.2
  Do not know 38.3 24.5, 53.6
  Not applicable 19.1 9.1, 33.3
L Enforcement Regional Offices Strongly agree 3.4 0.7, 9.6
  Somewhat agree 12.5 6.4, 21.3
  Neither agree nor disagree 18.2 10.8, 27.8
  Somewhat disagree 1.1 0.0, 6.2
  Strongly disagree 1.1 0.0, 6.2
  Do not know 50.0 40.6, 59.4
  Not applicable 13.6 7.2, 22.6
M Enforcement Headquarters Strongly agree 12.7 5.6, 23.5
  Somewhat agree 12.7 5.6, 23.5
  Neither agree nor disagree 14.3 6.7, 25.4
  Somewhat disagree 0.0 0.0, 4.6
  Strongly disagree 0.0 0.0, 4.6
  Do not know 55.6 45.1, 66.0
  Not applicable 4.8 1.0, 13.3
N Compliance Inspections and Examinations Regional Offices Strongly agree 1.3 0.0, 7.0
  Somewhat agree 7.8 2.9, 16.2
  Neither agree nor disagree 16.9 9.3, 27.1
  Somewhat disagree 5.2 1.4, 12.8
  Strongly disagree 1.3 0.0, 7.0
  Do not know 57.1 47.1, 67.2
  Not applicable 10.4 4.6, 19.4
O Compliance Inspections and Examinations Headquarters Strongly agree 3.2 0.4, 11.0
  Somewhat agree 9.5 3.6, 19.6
  Neither agree nor disagree 12.7 5.6, 23.5
  Somewhat disagree 1.6 0.0, 8.5
  Strongly disagree 3.2 0.4, 11.0
  Do not know 50.8 41.5, 60.1
  Not applicable 19.0 10.2, 30.9

13h. Office of Information Technology

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 15.5 12.8, 18.3
  Somewhat agree 27.4 24.0, 30.8
  Neither agree nor disagree 15.6 12.8, 18.4
  Somewhat disagree 6.4 4.5, 8.8
  Strongly disagree 3.4 2.1, 5.3
  Do not know 27.8 24.3, 31.2
  Not applicable 3.8 2.4, 5.8
B Entry or Mid-Level Non-Supervisors Strongly agree 16.1 13.0, 19.3
  Somewhat agree 24.5 20.9, 28.2
  Neither agree nor disagree 16.5 13.2, 19.7
  Somewhat disagree 6.5 4.4, 9.2
  Strongly disagree 2.8 1.5, 4.8
  Do not know 30.2 26.3, 34.2
  Not applicable 3.3 1.8, 5.4
C Supervisors Strongly agree 13.3 7.6, 21.0
  Somewhat agree 38.7 30.1, 47.2
  Neither agree nor disagree 12.2 6.8, 19.7
  Somewhat disagree 6.0 2.4, 12.2
  Strongly disagree 5.8 2.3, 11.9
  Do not know 18.2 11.5, 26.6
  Not applicable 5.8 2.3, 11.9
D Corporation Finance Strongly agree 8.3 3.1, 17.3
  Somewhat agree 29.2 19.0, 41.1
  Neither agree nor disagree 11.1 4.9, 20.7
  Somewhat disagree 5.6 1.5, 13.6
  Strongly disagree 5.6 1.5, 13.6
  Do not know 36.1 26.7, 45.5
  Not applicable 4.2 0.9, 11.7
E Division of Economic and Risk Analysis Strongly agree 13.5 4.5, 28.8
  Somewhat agree 13.5 4.5, 28.8
  Neither agree nor disagree 13.5 4.5, 28.8
  Somewhat disagree 21.6 9.8, 38.2
  Strongly disagree 5.4 0.7, 18.2
  Do not know . Data Not Reported
  Not applicable 0.0 0.0, 7.8
F Enforcement Strongly agree 21.2 15.0, 28.5
  Somewhat agree 35.6 28.8, 42.4
  Neither agree nor disagree 16.2 10.7, 23.1
  Somewhat disagree 3.2 1.0, 7.4
  Strongly disagree 2.0 0.4, 5.7
  Do not know 19.9 13.9, 27.1
  Not applicable 1.9 0.4, 5.6
G Investment Management Strongly agree 15.9 6.6, 30.1
  Somewhat agree 11.4 3.8, 24.6
  Neither agree nor disagree 11.4 3.8, 24.6
  Somewhat disagree 6.8 1.4, 18.7
  Strongly disagree 0.0 0.0, 6.6
  Do not know 52.3 42.0, 62.5
  Not applicable 2.3 0.1, 12.0
H Office of the Chief Accountant and Office of Credit Ratings Strongly agree . Data Not Reported
  Somewhat agree . Data Not Reported
  Neither agree nor disagree . Data Not Reported
  Somewhat disagree 4.3 0.1, 21.9
  Strongly disagree 4.3 0.1, 21.9
  Do not know . Data Not Reported
  Not applicable 4.3 0.1, 21.9
I Compliance Inspections and Examinations Strongly agree 11.5 6.7, 18.0
  Somewhat agree 21.6 15.1, 29.3
  Neither agree nor disagree 17.5 11.6, 24.8
  Somewhat disagree 7.7 3.8, 13.6
  Strongly disagree 3.1 0.9, 7.4
  Do not know 34.3 26.5, 42.0
  Not applicable 4.4 1.7, 9.2
J Information Technology Strongly agree 29.3 16.1, 45.5
  Somewhat agree 7.3 1.5, 19.9
  Neither agree nor disagree 4.9 0.6, 16.5
  Somewhat disagree 14.6 5.6, 29.2
  Strongly disagree 14.6 5.6, 29.2
  Do not know 9.8 2.7, 23.1
  Not applicable 19.5 8.8, 34.9
K Trading and Markets Strongly agree 6.4 1.3, 17.5
  Somewhat agree 42.6 32.0, 53.1
  Neither agree nor disagree 23.4 12.3, 38.0
  Somewhat disagree 6.4 1.3, 17.5
  Strongly disagree 2.1 0.1, 11.3
  Do not know 17.0 7.6, 30.8
  Not applicable 2.1 0.1, 11.3
L Enforcement Regional Offices Strongly agree 22.7 14.5, 32.9
  Somewhat agree 36.4 27.3, 45.4
  Neither agree nor disagree 13.6 7.2, 22.6
  Somewhat disagree 2.3 0.3, 8.0
  Strongly disagree 2.3 0.3, 8.0
  Do not know 21.6 13.5, 31.6
  Not applicable 1.1 0.0, 6.2
M Enforcement Headquarters Strongly agree 18.7 10.1, 30.5
  Somewhat agree 34.4 22.9, 47.3
  Neither agree nor disagree 20.3 11.3, 32.2
  Somewhat disagree 4.7 1.0, 13.1
  Strongly disagree 1.6 0.0, 8.4
  Do not know 17.2 8.9, 28.7
  Not applicable 3.1 0.4, 10.8
N Compliance Inspections and Examinations Regional Offices Strongly agree 10.3 4.5, 19.2
  Somewhat agree 20.5 12.2, 31.2
  Neither agree nor disagree 17.9 10.2, 28.3
  Somewhat disagree 9.0 3.7, 17.6
  Strongly disagree 2.6 0.3, 9.0
  Do not know 35.9 26.2, 45.6
  Not applicable 3.8 0.8, 10.8
O Compliance Inspections and Examinations Headquarters Strongly agree 15.9 7.9, 27.3
  Somewhat agree 25.4 15.3, 37.9
  Neither agree nor disagree 15.9 7.9, 27.3
  Somewhat disagree 3.2 0.4, 11.0
  Strongly disagree 4.8 1.0, 13.3
  Do not know 28.6 17.9, 41.3
  Not applicable 6.3 1.8, 15.5

13i. Office of the Chief Accountant

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 14.0 11.4, 16.5
  Somewhat agree 18.1 15.1, 21.1
  Neither agree nor disagree 15.2 12.4, 18.0
  Somewhat disagree 3.6 2.2, 5.5
  Strongly disagree 1.7 0.8, 3.2
  Do not know 40.4 36.7, 44.2
  Not applicable 7.1 5.1, 9.6
B Entry or Mid-Level Non-Supervisors Strongly agree 13.1 10.1, 16.6
  Somewhat agree 17.1 13.7, 20.4
  Neither agree nor disagree 14.2 11.1, 17.3
  Somewhat disagree 3.9 2.3, 6.2
  Strongly disagree 1.5 0.6, 3.1
  Do not know 43.3 39.1, 47.6
  Not applicable 6.9 4.7, 9.7
C Supervisors Strongly agree 17.2 10.7, 25.5
  Somewhat agree 21.9 14.7, 30.7
  Neither agree nor disagree 18.7 11.9, 27.2
  Somewhat disagree 2.3 0.4, 7.5
  Strongly disagree 2.6 0.5, 7.5
  Do not know 29.3 21.2, 37.5
  Not applicable 7.9 3.7, 14.5
D Corporation Finance Strongly agree 18.3 10.1, 29.3
  Somewhat agree 22.5 13.5, 34.0
  Neither agree nor disagree 12.7 6.0, 22.7
  Somewhat disagree 4.2 0.9, 11.9
  Strongly disagree 2.8 0.3, 9.8
  Do not know 36.6 27.1, 46.1
  Not applicable 2.8 0.3, 9.8
E Division of Economic and Risk Analysis Strongly agree 13.5 4.5, 28.8
  Somewhat agree 2.7 0.1, 14.2
  Neither agree nor disagree 10.8 3.0, 25.4
  Somewhat disagree 2.7 0.1, 14.2
  Strongly disagree 2.7 0.1, 14.2
  Do not know . Data Not Reported
  Not applicable 8.1 1.7, 21.9
F Enforcement Strongly agree 25.5 19.3, 31.7
  Somewhat agree 27.1 20.7, 33.5
  Neither agree nor disagree 15.0 9.7, 21.8
  Somewhat disagree 2.7 0.7, 6.7
  Strongly disagree 0.7 0.0, 3.8
  Do not know 26.3 20.0, 32.6
  Not applicable 2.8 0.8, 6.9
G Investment Management Strongly agree 12.2 4.1, 26.2
  Somewhat agree 19.5 8.8, 34.9
  Neither agree nor disagree 4.9 0.6, 16.5
  Somewhat disagree 0.0 0.0, 7.0
  Strongly disagree 0.0 0.0, 7.0
  Do not know . Data Not Reported
  Not applicable 2.4 0.1, 12.9
H Office of the Chief Accountant and Office of Credit Ratings Strongly agree . Data Not Reported
  Somewhat agree 8.7 1.1, 28.0
  Neither agree nor disagree 8.7 1.1, 28.0
  Somewhat disagree 4.3 0.1, 21.9
  Strongly disagree 0.0 0.0, 12.2
  Do not know . Data Not Reported
  Not applicable . Data Not Reported
I Compliance Inspections and Examinations Strongly agree 2.1 0.4, 6.1
  Somewhat agree 10.4 5.8, 16.7
  Neither agree nor disagree 15.1 9.6, 22.1
  Somewhat disagree 5.5 2.2, 11.0
  Strongly disagree 1.4 0.2, 5.0
  Do not know 54.9 46.8, 63.0
  Not applicable 10.7 6.1, 17.1
J Information Technology Strongly agree 7.3 1.5, 19.9
  Somewhat agree 2.4 0.1, 12.9
  Neither agree nor disagree 17.1 7.2, 32.1
  Somewhat disagree 4.9 0.6, 16.5
  Strongly disagree 12.2 4.1, 26.2
  Do not know 48.8 38.0, 59.5
  Not applicable 7.3 1.5, 19.9
K Trading and Markets Strongly agree 4.3 0.5, 14.5
  Somewhat agree 19.1 9.1, 33.3
  Neither agree nor disagree 31.9 19.1, 47.1
  Somewhat disagree 0.0 0.0, 6.2
  Strongly disagree 0.0 0.0, 6.2
  Do not know 34.0 20.9, 49.3
  Not applicable 10.6 3.5, 23.1
L Enforcement Regional Offices Strongly agree 23.3 14.8, 33.6
  Somewhat agree 27.9 18.8, 38.6
  Neither agree nor disagree 16.3 9.2, 25.8
  Somewhat disagree 2.3 0.3, 8.1
  Strongly disagree 1.2 0.0, 6.3
  Do not know 25.6 16.8, 36.1
  Not applicable 3.5 0.7, 9.9
M Enforcement Headquarters Strongly agree 29.0 18.2, 41.9
  Somewhat agree 25.8 15.5, 38.5
  Neither agree nor disagree 12.9 5.7, 23.9
  Somewhat disagree 3.2 0.4, 11.2
  Strongly disagree 0.0 0.0, 4.7
  Do not know 27.4 16.9, 40.2
  Not applicable 1.6 0.0, 8.7
N Compliance Inspections and Examinations Regional Offices Strongly agree 1.3 0.0, 7.1
  Somewhat agree 9.2 3.8, 18.1
  Neither agree nor disagree 15.8 8.4, 26.0
  Somewhat disagree 6.6 2.2, 14.7
  Strongly disagree 1.3 0.0, 7.1
  Do not know 56.6 46.4, 66.7
  Not applicable 9.2 3.8, 18.1
O Compliance Inspections and Examinations Headquarters Strongly agree 4.8 1.0, 13.3
  Somewhat agree 14.3 6.7, 25.4
  Neither agree nor disagree 12.7 5.6, 23.5
  Somewhat disagree 1.6 0.0, 8.5
  Strongly disagree 1.6 0.0, 8.5
  Do not know 49.2 39.9, 58.5
  Not applicable 15.9 7.9, 27.3

14. If there are any other issues, details, or information concerning communication between and within divisions and offices that you would like us to know about, please use the space below to provide this information.

data intentionally not reported


Section 3 - Leadership and Management

Notes on terms used in Section 3:

(1) Division/office: For purposes of this survey, the phrase "division/office" refers to your division or office (such as the Division of Corporation Finance or OCIE in the Headquarters or the Division of Enforcement or OCIE in a regional office).

(2) Supervisors and managers: For the purposes of this survey, the phrase "supervisors and managers" refers to those in supervisory or management positions above your current level.

For non-supervisory staff, "supervisors and managers" refers to Exam Managers, Branch Chiefs, and Assistant Directors.

For Exam Managers, Branch Chiefs, and Assistant Directors, "supervisors" refers to those persons above you in the chain of command who are Assistant Directors or Associate Directors.

(3) Management: For purposes of this survey, "management" refers to Assistant Directors and those at the Senior Officer (SO) level including Directors, Deputy Directors, Managing Executives, and Associate Directors.

Please note: Some questions ask you to look back over the past three years. If you have worked at the SEC for less than three years, we ask that you look back over the period of time that you have worked at the SEC.

15. To what extent do you agree or disagree with the following statements regarding the quality of management and leadership in your division/office? (Select one response per item.)

15a. In my division/office, the roles and responsibilities of supervisors and managers are clearly defined.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 32.2 28.6, 35.9
  Somewhat agree 37.9 34.1, 41.6
  Neither agree nor disagree 8.5 6.3, 11.1
  Somewhat disagree 14.2 11.5, 16.9
  Strongly disagree 5.6 3.8, 7.8
  Do not know 1.6 0.8, 3.1
B Entry or Mid-Level Non-Supervisors Strongly agree 31.4 27.4, 35.4
  Somewhat agree 37.7 33.6, 41.9
  Neither agree nor disagree 9.7 7.1, 12.8
  Somewhat disagree 13.9 11.0, 16.9
  Strongly disagree 5.2 3.3, 7.7
  Do not know 2.1 1.0, 3.8
C Supervisors Strongly agree 35.5 27.1, 43.9
  Somewhat agree 38.3 29.9, 46.7
  Neither agree nor disagree 4.0 1.2, 9.4
  Somewhat disagree 15.1 9.0, 23.0
  Strongly disagree 7.1 3.1, 13.5
  Do not know 0.0 0.0, 2.6
D Corporation Finance Strongly agree 36.1 26.7, 45.5
  Somewhat agree 40.3 30.7, 49.9
  Neither agree nor disagree 11.1 4.9, 20.7
  Somewhat disagree 5.6 1.5, 13.6
  Strongly disagree 1.4 0.0, 7.5
  Do not know 5.6 1.5, 13.6
E Division of Economic and Risk Analysis Strongly agree 24.3 11.8, 41.2
  Somewhat agree . Data Not Reported
  Neither agree nor disagree 8.1 1.7, 21.9
  Somewhat disagree 16.2 6.2, 32.0
  Strongly disagree 13.5 4.5, 28.8
  Do not know 0.0 0.0, 7.8
F Enforcement Strongly agree 32.1 25.5, 38.7
  Somewhat agree 41.2 34.2, 48.1
  Neither agree nor disagree 7.9 4.2, 13.4
  Somewhat disagree 12.2 7.5, 18.5
  Strongly disagree 5.3 2.3, 10.1
  Do not know 1.3 0.2, 4.6
G Investment Management Strongly agree 36.4 22.4, 52.2
  Somewhat agree 34.1 20.5, 49.9
  Neither agree nor disagree 11.4 3.8, 24.6
  Somewhat disagree 11.4 3.8, 24.6
  Strongly disagree 2.3 0.1, 12.0
  Do not know 4.5 0.6, 15.5
H Office of the Chief Accountant and Office of Credit Ratings Strongly agree . Data Not Reported
  Somewhat agree . Data Not Reported
  Neither agree nor disagree 9.1 1.1, 29.2
  Somewhat disagree . Data Not Reported
  Strongly disagree 9.1 1.1, 29.2
  Do not know 0.0 0.0, 12.7
I Compliance Inspections and Examinations Strongly agree 34.3 26.6, 42.0
  Somewhat agree 33.4 25.7, 41.0
  Neither agree nor disagree 6.4 3.0, 11.8
  Somewhat disagree 20.0 13.8, 27.5
  Strongly disagree 6.0 2.7, 11.3
  Do not know 0.0 0.0, 2.1
J Information Technology Strongly agree 18.2 8.2, 32.7
  Somewhat agree 43.2 32.9, 53.5
  Neither agree nor disagree 11.4 3.8, 24.6
  Somewhat disagree 15.9 6.6, 30.1
  Strongly disagree 11.4 3.8, 24.6
  Do not know 0.0 0.0, 6.6
K Trading and Markets Strongly agree 29.2 17.0, 44.1
  Somewhat agree 37.5 24.0, 52.6
  Neither agree nor disagree 12.5 4.7, 25.2
  Somewhat disagree 10.4 3.5, 22.7
  Strongly disagree 6.3 1.3, 17.2
  Do not know 4.2 0.5, 14.3
L Enforcement Regional Offices Strongly agree 33.0 24.1, 41.8
  Somewhat agree 40.9 31.7, 50.2
  Neither agree nor disagree 9.1 4.0, 17.1
  Somewhat disagree 10.2 4.8, 18.5
  Strongly disagree 5.7 1.9, 12.8
  Do not know 1.1 0.0, 6.2
M Enforcement Headquarters Strongly agree 30.8 19.9, 43.4
  Somewhat agree 41.5 31.3, 51.8
  Neither agree nor disagree 6.2 1.7, 15.0
  Somewhat disagree 15.4 7.6, 26.5
  Strongly disagree 4.6 1.0, 12.9
  Do not know 1.5 0.0, 8.3
N Compliance Inspections and Examinations Regional Offices Strongly agree 35.4 25.9, 45.0
  Somewhat agree 32.9 23.5, 42.3
  Neither agree nor disagree 5.1 1.4, 12.5
  Somewhat disagree 20.3 12.0, 30.8
  Strongly disagree 6.3 2.1, 14.2
  Do not know 0.0 0.0, 3.7
O Compliance Inspections and Examinations Headquarters Strongly agree 30.2 19.2, 43.0
  Somewhat agree 34.9 23.3, 48.0
  Neither agree nor disagree 11.1 4.6, 21.6
  Somewhat disagree 19.0 10.2, 30.9
  Strongly disagree 4.8 1.0, 13.3
  Do not know 0.0 0.0, 4.6

15b. Supervisors and managers in my division/office are genuinely interested in the opinions of their staff.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 36.4 32.7, 40.1
  Somewhat agree 31.7 28.2, 35.2
  Neither agree nor disagree 12.4 9.8, 15.0
  Somewhat disagree 11.3 8.9, 13.8
  Strongly disagree 7.7 5.6, 10.2
  Do not know 0.5 0.1, 1.5
B Entry or Mid-Level Non-Supervisors Strongly agree 35.8 31.6, 39.9
  Somewhat agree 31.8 27.8, 35.7
  Neither agree nor disagree 11.3 8.5, 14.6
  Somewhat disagree 11.6 8.8, 14.9
  Strongly disagree 9.0 6.5, 12.0
  Do not know 0.6 0.1, 1.8
C Supervisors Strongly agree 39.0 30.7, 47.3
  Somewhat agree 31.5 23.5, 39.4
  Neither agree nor disagree 16.7 10.2, 25.1
  Somewhat disagree 10.3 5.4, 17.5
  Strongly disagree 2.5 0.5, 7.3
  Do not know 0.0 0.0, 2.6
D Corporation Finance Strongly agree 30.6 20.2, 42.5
  Somewhat agree 40.3 30.7, 49.9
  Neither agree nor disagree 12.5 5.9, 22.4
  Somewhat disagree 5.6 1.5, 13.6
  Strongly disagree 9.7 4.0, 19.0
  Do not know 1.4 0.0, 7.5
E Division of Economic and Risk Analysis Strongly agree . Data Not Reported
  Somewhat agree . Data Not Reported
  Neither agree nor disagree 2.7 0.1, 14.2
  Somewhat disagree 16.2 6.2, 32.0
  Strongly disagree 5.4 0.7, 18.2
  Do not know 2.7 0.1, 14.2
F Enforcement Strongly agree 40.5 33.6, 47.4
  Somewhat agree 25.7 19.5, 31.9
  Neither agree nor disagree 11.4 6.8, 17.6
  Somewhat disagree 14.9 9.7, 21.6
  Strongly disagree 6.9 3.4, 12.1
  Do not know 0.6 0.0, 3.6
G Investment Management Strongly agree 50.0 39.8, 60.2
  Somewhat agree 29.5 16.8, 45.2
  Neither agree nor disagree 6.8 1.4, 18.7
  Somewhat disagree 11.4 3.8, 24.6
  Strongly disagree 2.3 0.1, 12.0
  Do not know 0.0 0.0, 6.6
H Office of the Chief Accountant and Office of Credit Ratings Strongly agree . Data Not Reported
  Somewhat agree . Data Not Reported
  Neither agree nor disagree . Data Not Reported
  Somewhat disagree . Data Not Reported
  Strongly disagree 8.7 1.1, 28.0
  Do not know 0.0 0.0, 12.2
I Compliance Inspections and Examinations Strongly agree 37.1 29.4, 44.8
  Somewhat agree 29.9 22.4, 37.4
  Neither agree nor disagree 15.6 10.1, 22.7
  Somewhat disagree 10.0 5.6, 16.1
  Strongly disagree 7.3 3.6, 12.9
  Do not know 0.0 0.0, 2.1
J Information Technology Strongly agree 15.9 6.6, 30.1
  Somewhat agree . Data Not Reported
  Neither agree nor disagree 18.2 8.2, 32.7
  Somewhat disagree 9.1 2.5, 21.7
  Strongly disagree 18.2 8.2, 32.7
  Do not know 0.0 0.0, 6.6
K Trading and Markets Strongly agree 29.2 17.0, 44.1
  Somewhat agree 52.1 41.5, 62.7
  Neither agree nor disagree 6.3 1.3, 17.2
  Somewhat disagree 6.3 1.3, 17.2
  Strongly disagree 6.3 1.3, 17.2
  Do not know 0.0 0.0, 6.1
L Enforcement Regional Offices Strongly agree 44.3 35.0, 53.7
  Somewhat agree 26.1 17.3, 36.6
  Neither agree nor disagree 6.8 2.5, 14.3
  Somewhat disagree 12.5 6.4, 21.3
  Strongly disagree 10.2 4.8, 18.5
  Do not know 0.0 0.0, 3.3
M Enforcement Headquarters Strongly agree 34.4 22.9, 47.3
  Somewhat agree 25.0 15.0, 37.4
  Neither agree nor disagree 18.7 10.1, 30.5
  Somewhat disagree 18.7 10.1, 30.5
  Strongly disagree 1.6 0.0, 8.4
  Do not know 1.6 0.0, 8.4
N Compliance Inspections and Examinations Regional Offices Strongly agree 34.2 24.7, 43.7
  Somewhat agree 31.6 22.3, 41.0
  Neither agree nor disagree 16.5 9.1, 26.5
  Somewhat disagree 10.1 4.5, 19.0
  Strongly disagree 7.6 2.8, 15.8
  Do not know 0.0 0.0, 3.7
O Compliance Inspections and Examinations Headquarters Strongly agree 47.6 38.3, 56.9
  Somewhat agree 23.8 14.0, 36.2
  Neither agree nor disagree 12.7 5.6, 23.5
  Somewhat disagree 9.5 3.6, 19.6
  Strongly disagree 6.3 1.8, 15.5
  Do not know 0.0 0.0, 4.6

15c. In my office/division, promotion to management is based more on substantive experience or qualifications than on personal connections or favoritism.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 17.5 14.6, 20.5
  Somewhat agree 21.5 18.3, 24.7
  Neither agree nor disagree 14.6 12.0, 17.3
  Somewhat disagree 13.7 11.0, 16.3
  Strongly disagree 17.6 14.7, 20.5
  Do not know 15.1 12.4, 17.8
B Entry or Mid-Level Non-Supervisors Strongly agree 12.1 9.2, 15.5
  Somewhat agree 18.7 15.3, 22.1
  Neither agree nor disagree 15.8 12.7, 18.8
  Somewhat disagree 15.8 12.7, 19.0
  Strongly disagree 18.8 15.4, 22.2
  Do not know 18.8 15.5, 22.1
C Supervisors Strongly agree 39.0 30.5, 47.5
  Somewhat agree 32.4 24.2, 40.7
  Neither agree nor disagree 10.2 5.3, 17.4
  Somewhat disagree 5.0 1.8, 10.9
  Strongly disagree 12.8 7.2, 20.4
  Do not know 0.5 0.0, 4.9
D Corporation Finance Strongly agree 16.7 8.9, 27.3
  Somewhat agree 20.8 12.2, 32.0
  Neither agree nor disagree 12.5 5.9, 22.4
  Somewhat disagree 12.5 5.9, 22.4
  Strongly disagree 22.2 13.3, 33.6
  Do not know 15.3 7.9, 25.7
E Division of Economic and Risk Analysis Strongly agree 24.3 11.8, 41.2
  Somewhat agree 18.9 8.0, 35.2
  Neither agree nor disagree 8.1 1.7, 21.9
  Somewhat disagree 2.7 0.1, 14.2
  Strongly disagree 24.3 11.8, 41.2
  Do not know 21.6 9.8, 38.2
F Enforcement Strongly agree 21.2 15.0, 28.5
  Somewhat agree 17.8 12.1, 24.8
  Neither agree nor disagree 15.3 10.0, 22.0
  Somewhat disagree 15.7 10.3, 22.5
  Strongly disagree 18.2 12.4, 25.2
  Do not know 11.8 7.2, 18.0
G Investment Management Strongly agree 15.9 6.6, 30.1
  Somewhat agree 25.0 13.2, 40.3
  Neither agree nor disagree 18.2 8.2, 32.7
  Somewhat disagree 22.7 11.5, 37.8
  Strongly disagree 4.5 0.6, 15.5
  Do not know 13.6 5.2, 27.4
H Office of the Chief Accountant and Office of Credit Ratings Strongly agree . Data Not Reported
  Somewhat agree . Data Not Reported
  Neither agree nor disagree . Data Not Reported
  Somewhat disagree . Data Not Reported
  Strongly disagree 8.7 1.1, 28.0
  Do not know . Data Not Reported
I Compliance Inspections and Examinations Strongly agree 16.0 10.3, 23.1
  Somewhat agree 26.4 19.1, 33.7
  Neither agree nor disagree 13.9 8.7, 20.8
  Somewhat disagree 11.9 7.0, 18.4
  Strongly disagree 15.6 10.0, 22.7
  Do not know 16.3 10.5, 23.5
J Information Technology Strongly agree 4.5 0.6, 15.5
  Somewhat agree 15.9 6.6, 30.1
  Neither agree nor disagree 25.0 13.2, 40.3
  Somewhat disagree 15.9 6.6, 30.1
  Strongly disagree 27.3 15.0, 42.8
  Do not know 11.4 3.8, 24.6
K Trading and Markets Strongly agree 14.6 6.1, 27.8
  Somewhat agree 22.9 12.0, 37.3
  Neither agree nor disagree 8.3 2.3, 20.0
  Somewhat disagree 10.4 3.5, 22.7
  Strongly disagree 16.7 7.5, 30.2
  Do not know 27.1 15.3, 41.8
L Enforcement Regional Offices Strongly agree 23.9 15.4, 34.1
  Somewhat agree 19.3 11.7, 29.1
  Neither agree nor disagree 11.4 5.6, 19.9
  Somewhat disagree 15.9 9.0, 25.2
  Strongly disagree 17.0 9.9, 26.6
  Do not know 12.5 6.4, 21.3
M Enforcement Headquarters Strongly agree 16.9 8.8, 28.3
  Somewhat agree 15.4 7.6, 26.5
  Neither agree nor disagree 21.5 12.3, 33.5
  Somewhat disagree 15.4 7.6, 26.5
  Strongly disagree 20.0 11.1, 31.8
  Do not know 10.8 4.4, 20.9
N Compliance Inspections and Examinations Regional Offices Strongly agree 15.4 8.2, 25.3
  Somewhat agree 28.2 18.6, 39.5
  Neither agree nor disagree 12.8 6.3, 22.3
  Somewhat disagree 11.5 5.4, 20.8
  Strongly disagree 15.4 8.2, 25.3
  Do not know 16.7 9.2, 26.8
O Compliance Inspections and Examinations Headquarters Strongly agree 18.0 9.4, 30.0
  Somewhat agree 19.7 10.6, 31.8
  Neither agree nor disagree 18.0 9.4, 30.0
  Somewhat disagree 13.1 5.8, 24.2
  Strongly disagree 16.4 8.2, 28.1
  Do not know 14.8 7.0, 26.2

15d. Over the past 3 years, I have seen SEC staff leave due to being dissatisfied with a supervisor or manager.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 19.8 17.0, 22.6
  Somewhat agree 23.8 20.6, 27.0
  Neither agree nor disagree 13.5 10.8, 16.2
  Somewhat disagree 8.0 5.9, 10.6
  Strongly disagree 15.6 12.7, 18.6
  Do not know 19.2 16.1, 22.3
B Entry or Mid-Level Non-Supervisors Strongly agree 21.8 18.4, 25.1
  Somewhat agree 22.0 18.6, 25.4
  Neither agree nor disagree 14.3 11.2, 17.4
  Somewhat disagree 7.9 5.6, 10.8
  Strongly disagree 13.9 10.8, 17.1
  Do not know 20.1 16.5, 23.6
C Supervisors Strongly agree 12.2 6.8, 19.6
  Somewhat agree 30.6 22.5, 38.7
  Neither agree nor disagree 10.5 5.5, 17.6
  Somewhat disagree 8.6 4.2, 15.3
  Strongly disagree 22.2 15.0, 31.0
  Do not know 16.0 9.8, 24.0
D Corporation Finance Strongly agree 15.3 7.9, 25.7
  Somewhat agree 20.8 12.2, 32.0
  Neither agree nor disagree 11.1 4.9, 20.7
  Somewhat disagree 11.1 4.9, 20.7
  Strongly disagree 18.1 10.0, 28.9
  Do not know 23.6 14.4, 35.1
E Division of Economic and Risk Analysis Strongly agree . Data Not Reported
  Somewhat agree . Data Not Reported
  Neither agree nor disagree 2.7 0.1, 14.2
  Somewhat disagree 2.7 0.1, 14.2
  Strongly disagree 13.5 4.5, 28.8
  Do not know 8.1 1.7, 21.9
F Enforcement Strongly agree 21.4 15.2, 28.7
  Somewhat agree 23.5 17.0, 31.0
  Neither agree nor disagree 17.2 11.6, 24.1
  Somewhat disagree 7.4 3.8, 12.8
  Strongly disagree 11.2 6.7, 17.3
  Do not know 19.3 13.4, 26.5
G Investment Management Strongly agree 13.6 5.2, 27.4
  Somewhat agree 31.8 18.6, 47.6
  Neither agree nor disagree 9.1 2.5, 21.7
  Somewhat disagree 11.4 3.8, 24.6
  Strongly disagree 15.9 6.6, 30.1
  Do not know 18.2 8.2, 32.7
H Office of the Chief Accountant and Office of Credit Ratings Strongly agree . Data Not Reported
  Somewhat agree . Data Not Reported
  Neither agree nor disagree 0.0 0.0, 12.2
  Somewhat disagree 4.3 0.1, 21.9
  Strongly disagree . Data Not Reported
  Do not know . Data Not Reported
I Compliance Inspections and Examinations Strongly agree 11.5 6.7, 17.9
  Somewhat agree 21.2 14.7, 28.8
  Neither agree nor disagree 14.1 8.8, 21.0
  Somewhat disagree 8.7 4.6, 14.6
  Strongly disagree 23.9 17.0, 32.0
  Do not know 20.6 14.2, 28.3
J Information Technology Strongly agree 36.4 22.4, 52.2
  Somewhat agree