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 34.1 20.5, 49.9
  Neither agree nor disagree 11.4 3.8, 24.6
  Somewhat disagree 2.3 0.1, 12.0
  Strongly disagree 6.8 1.4, 18.7
  Do not know 9.1 2.5, 21.7
K Trading and Markets Strongly agree 34.0 20.9, 49.3
  Somewhat agree 25.5 13.9, 40.3
  Neither agree nor disagree 10.6 3.5, 23.1
  Somewhat disagree 8.5 2.4, 20.4
  Strongly disagree 4.3 0.5, 14.5
  Do not know 17.0 7.6, 30.8
L Enforcement Regional Offices Strongly agree 19.3 11.7, 29.1
  Somewhat agree 22.7 14.5, 32.9
  Neither agree nor disagree 19.3 11.7, 29.1
  Somewhat disagree 10.2 4.8, 18.5
  Strongly disagree 12.5 6.4, 21.3
  Do not know 15.9 9.0, 25.2
M Enforcement Headquarters Strongly agree 24.6 14.8, 36.9
  Somewhat agree 24.6 14.8, 36.9
  Neither agree nor disagree 13.8 6.5, 24.7
  Somewhat disagree 3.1 0.4, 10.7
  Strongly disagree 9.2 3.5, 19.0
  Do not know 24.6 14.8, 36.9
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 12.7 6.2, 22.0
  Somewhat disagree 8.9 3.6, 17.4
  Strongly disagree 27.8 18.3, 39.1
  Do not know 22.8 14.1, 33.6
O Compliance Inspections and Examinations Headquarters Strongly agree 21.0 11.7, 33.2
  Somewhat agree 29.0 18.2, 41.9
  Neither agree nor disagree 19.4 10.4, 31.4
  Somewhat disagree 8.1 2.7, 17.8
  Strongly disagree 9.7 3.6, 19.9
  Do not know 12.9 5.7, 23.9

16. Over the past three years, to what extent, if at all, have the Senior Officers (SOs) in your division/office worked to make improvements in the areas listed below? (Select one response per item.)

Please note: "Division/office" refers to your division or office (such as the Division of Corporation Finance or OCIE in Headquarters or the Division of Enforcement or OCIE in a regional office).

Senior Officers worked to make improvements in...

16a. Workforce morale

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents To a great extent 25.0 21.6, 28.3
  To a moderate extent 29.8 26.2, 33.3
  To a small extent 25.0 21.7, 28.4
  To no extent 15.4 12.8, 18.0
  No basis to judge 2.1 1.1, 3.6
  Do not know 2.7 1.6, 4.5
B Entry or Mid-Level Non-Supervisors To a great extent 24.3 20.6, 28.0
  To a moderate extent 29.6 25.7, 33.6
  To a small extent 24.0 20.3, 27.7
  To no extent 16.4 13.4, 19.4
  No basis to judge 2.3 1.1, 4.1
  Do not know 3.5 2.0, 5.6
C Supervisors To a great extent 27.6 19.7, 35.4
  To a moderate extent 30.3 22.4, 38.3
  To a small extent 29.1 21.2, 37.0
  To no extent 11.6 6.4, 19.0
  No basis to judge 1.4 0.1, 5.6
  Do not know 0.0 0.0, 2.6
D Corporation Finance To a great extent 8.3 3.1, 17.3
  To a moderate extent 11.1 4.9, 20.7
  To a small extent 36.1 26.7, 45.5
  To no extent 33.3 24.1, 42.5
  No basis to judge 4.2 0.9, 11.7
  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 18.9 8.0, 35.2
  To no extent 21.6 9.8, 38.2
  No basis to judge 2.7 0.1, 14.2
  Do not know 0.0 0.0, 7.8
F Enforcement To a great extent 30.0 23.5, 36.4
  To a moderate extent 32.3 25.7, 38.9
  To a small extent 24.2 18.1, 30.2
  To no extent 11.0 6.5, 17.1
  No basis to judge 1.2 0.1, 4.5
  Do not know 1.3 0.2, 4.7
G Investment Management To a great extent 34.1 20.5, 49.9
  To a moderate extent . Data Not Reported
  To a small extent 13.6 5.2, 27.4
  To no extent 6.8 1.4, 18.7
  No basis to judge 2.3 0.1, 12.0
  Do not know 2.3 0.1, 12.0
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 8.7 1.1, 28.0
  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 27.7 20.4, 34.9
  To a moderate extent 33.6 26.0, 41.3
  To a small extent 23.7 17.0, 31.6
  To no extent 9.6 5.3, 15.7
  No basis to judge 2.3 0.5, 6.4
  Do not know 3.0 0.9, 7.3
J Information Technology To a great extent 9.1 2.5, 21.7
  To a moderate extent 13.6 5.2, 27.4
  To a small extent 34.1 20.5, 49.9
  To no extent 36.4 22.4, 52.2
  No basis to judge 4.5 0.6, 15.5
  Do not know 2.3 0.1, 12.0
K Trading and Markets To a great extent 14.6 6.1, 27.8
  To a moderate extent 41.7 31.2, 52.1
  To a small extent 18.8 8.9, 32.6
  To no extent 20.8 10.5, 35.0
  No basis to judge 0.0 0.0, 6.1
  Do not know 4.2 0.5, 14.3
L Enforcement Regional Offices To a great extent 26.4 17.6, 37.0
  To a moderate extent 33.3 24.4, 42.3
  To a small extent 29.9 21.2, 38.6
  To no extent 9.2 4.1, 17.3
  No basis to judge 0.0 0.0, 3.4
  Do not know 1.1 0.0, 6.2
M Enforcement Headquarters To a great extent 35.4 25.4, 45.3
  To a moderate extent 30.8 19.9, 43.4
  To a small extent 15.4 7.6, 26.5
  To no extent 13.8 6.5, 24.7
  No basis to judge 3.1 0.4, 10.7
  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 34.2 24.7, 43.7
  To a small extent 22.8 14.1, 33.6
  To no extent 10.1 4.5, 19.0
  No basis to judge 2.5 0.3, 8.8
  Do not know 2.5 0.3, 8.8
O Compliance Inspections and Examinations Headquarters To a great extent 27.0 16.6, 39.7
  To a moderate extent 31.7 20.6, 44.7
  To a small extent 27.0 16.6, 39.7
  To no extent 7.9 2.6, 17.6
  No basis to judge 1.6 0.0, 8.5
  Do not know 4.8 1.0, 13.3

16b. Collaboration between divisions and offices

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents To a great extent 16.3 13.5, 19.1
  To a moderate extent 32.1 28.5, 35.7
  To a small extent 21.0 17.8, 24.1
  To no extent 12.6 10.1, 15.1
  No basis to judge 10.5 8.1, 13.3
  Do not know 7.5 5.5, 10.1
B Entry or Mid-Level Non-Supervisors To a great extent 16.1 12.9, 19.2
  To a moderate extent 31.7 27.7, 35.8
  To a small extent 19.7 16.4, 23.1
  To no extent 12.4 9.5, 15.8
  No basis to judge 11.5 8.7, 14.8
  Do not know 8.6 6.2, 11.6
C Supervisors To a great extent 17.4 10.9, 25.6
  To a moderate extent 33.5 25.2, 41.7
  To a small extent 25.7 18.0, 34.7
  To no extent 13.6 7.9, 21.2
  No basis to judge 6.5 2.8, 12.8
  Do not know 3.3 0.8, 8.8
D Corporation Finance To a great extent 8.3 3.1, 17.3
  To a moderate extent 15.3 7.9, 25.7
  To a small extent 25.0 15.5, 36.6
  To no extent 25.0 15.5, 36.6
  No basis to judge 12.5 5.9, 22.4
  Do not know 13.9 6.9, 24.1
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 16.2 6.2, 32.0
  To no extent 16.2 6.2, 32.0
  No basis to judge 13.5 4.5, 28.8
  Do not know 5.4 0.7, 18.2
F Enforcement To a great extent 18.7 12.9, 25.9
  To a moderate extent 38.5 31.7, 45.4
  To a small extent 16.6 11.1, 23.5
  To no extent 9.4 5.3, 15.2
  No basis to judge 12.2 7.5, 18.5
  Do not know 4.5 1.8, 9.1
G Investment Management To a great extent 16.3 6.8, 30.7
  To a moderate extent 51.2 40.8, 61.5
  To a small extent 9.3 2.6, 22.1
  To no extent 7.0 1.5, 19.1
  No basis to judge 9.3 2.6, 22.1
  Do not know 7.0 1.5, 19.1
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 . Data Not Reported
  No basis to judge . Data Not Reported
  Do not know 0.0 0.0, 12.2
I Compliance Inspections and Examinations To a great extent 18.1 12.2, 25.5
  To a moderate extent 32.6 25.0, 40.2
  To a small extent 21.6 15.2, 29.3
  To no extent 11.0 6.4, 17.4
  No basis to judge 8.6 4.4, 14.7
  Do not know 8.0 4.1, 13.8
J Information Technology To a great extent 4.5 0.6, 15.5
  To a moderate extent 15.9 6.6, 30.1
  To a small extent 29.5 16.8, 45.2
  To no extent 25.0 13.2, 40.3
  No basis to judge 15.9 6.6, 30.1
  Do not know 9.1 2.5, 21.7
K Trading and Markets To a great extent 14.6 6.1, 27.8
  To a moderate extent 31.3 18.7, 46.3
  To a small extent 37.5 24.0, 52.6
  To no extent 4.2 0.5, 14.3
  No basis to judge 0.0 0.0, 6.1
  Do not know 12.5 4.7, 25.2
L Enforcement Regional Offices To a great extent 14.9 8.2, 24.2
  To a moderate extent 42.5 33.2, 51.9
  To a small extent 18.4 10.9, 28.1
  To no extent 11.5 5.7, 20.1
  No basis to judge 9.2 4.1, 17.3
  Do not know 3.4 0.7, 9.7
M Enforcement Headquarters To a great extent 24.6 14.8, 36.9
  To a moderate extent 32.3 21.2, 45.1
  To a small extent 13.8 6.5, 24.7
  To no extent 6.2 1.7, 15.0
  No basis to judge 16.9 8.8, 28.3
  Do not know 6.2 1.7, 15.0
N Compliance Inspections and Examinations Regional Offices To a great extent 15.2 8.1, 25.0
  To a moderate extent 34.2 24.7, 43.7
  To a small extent 22.8 14.1, 33.6
  To no extent 10.1 4.5, 19.0
  No basis to judge 10.1 4.5, 19.0
  Do not know 7.6 2.8, 15.8
O Compliance Inspections and Examinations Headquarters To a great extent 28.6 17.9, 41.3
  To a moderate extent 27.0 16.6, 39.7
  To a small extent 17.5 9.1, 29.1
  To no extent 14.3 6.7, 25.4
  No basis to judge 3.2 0.4, 11.0
  Do not know 9.5 3.6, 19.6

16c. Staff training focused on specific competencies

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents To a great extent 18.0 15.0, 21.0
  To a moderate extent 31.8 28.2, 35.4
  To a small extent 25.2 21.8, 28.5
  To no extent 12.3 9.9, 14.7
  No basis to judge 6.0 4.2, 8.3
  Do not know 6.7 4.8, 9.1
B Entry or Mid-Level Non-Supervisors To a great extent 17.6 14.3, 21.0
  To a moderate extent 30.9 26.9, 35.0
  To a small extent 24.5 20.8, 28.2
  To no extent 12.8 9.9, 16.3
  No basis to judge 6.0 4.0, 8.7
  Do not know 8.1 5.7, 11.0
C Supervisors To a great extent 19.6 12.7, 28.1
  To a moderate extent 35.2 26.7, 43.6
  To a small extent 27.8 20.1, 35.5
  To no extent 10.3 5.3, 17.4
  No basis to judge 5.7 2.2, 11.7
  Do not know 1.5 0.1, 7.0
D Corporation Finance To a great extent 19.4 11.1, 30.5
  To a moderate extent 33.3 24.1, 42.5
  To a small extent 20.8 12.2, 32.0
  To no extent 9.7 4.0, 19.0
  No basis to judge 6.9 2.3, 15.5
  Do not know 9.7 4.0, 19.0
E Division of Economic and Risk Analysis To a great extent 13.5 4.5, 28.8
  To a moderate extent 24.3 11.8, 41.2
  To a small extent 24.3 11.8, 41.2
  To no extent 13.5 4.5, 28.8
  No basis to judge 18.9 8.0, 35.2
  Do not know 5.4 0.7, 18.2
F Enforcement To a great extent 20.2 14.2, 27.5
  To a moderate extent 33.8 27.1, 40.5
  To a small extent 21.1 14.9, 28.5
  To no extent 11.2 6.7, 17.3
  No basis to judge 6.4 3.1, 11.6
  Do not know 7.2 3.6, 12.5
G Investment Management To a great extent 11.4 3.8, 24.6
  To a moderate extent 34.1 20.5, 49.9
  To a small extent 31.8 18.6, 47.6
  To no extent 9.1 2.5, 21.7
  No basis to judge 6.8 1.4, 18.7
  Do not know 6.8 1.4, 18.7
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 . Data Not Reported
  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 19.0 12.9, 26.4
  To a moderate extent 34.3 26.7, 42.0
  To a small extent 27.9 20.5, 35.3
  To no extent 9.4 5.1, 15.4
  No basis to judge 3.0 0.9, 7.3
  Do not know 6.4 3.0, 11.8
J Information Technology To a great extent 4.5 0.6, 15.5
  To a moderate extent 18.2 8.2, 32.7
  To a small extent 27.3 15.0, 42.8
  To no extent 36.4 22.4, 52.2
  No basis to judge 11.4 3.8, 24.6
  Do not know 2.3 0.1, 12.0
K Trading and Markets To a great extent 14.9 6.2, 28.3
  To a moderate extent 25.5 13.9, 40.3
  To a small extent 29.8 17.3, 44.9
  To no extent 17.0 7.6, 30.8
  No basis to judge 6.4 1.3, 17.5
  Do not know 6.4 1.3, 17.5
L Enforcement Regional Offices To a great extent 18.4 10.9, 28.1
  To a moderate extent 36.8 27.7, 45.9
  To a small extent 21.8 13.7, 32.0
  To no extent 11.5 5.7, 20.1
  No basis to judge 4.6 1.3, 11.4
  Do not know 6.9 2.6, 14.4
M Enforcement Headquarters To a great extent 23.1 13.5, 35.2
  To a moderate extent 29.2 18.6, 41.8
  To a small extent 20.0 11.1, 31.8
  To no extent 10.8 4.4, 20.9
  No basis to judge 9.2 3.5, 19.0
  Do not know 7.7 2.5, 17.0
N Compliance Inspections and Examinations Regional Offices To a great extent 19.0 11.0, 29.4
  To a moderate extent 34.2 24.7, 43.7
  To a small extent 30.4 21.2, 39.6
  To no extent 8.9 3.6, 17.4
  No basis to judge 2.5 0.3, 8.8
  Do not know 5.1 1.4, 12.5
O Compliance Inspections and Examinations Headquarters To a great extent 19.0 10.2, 30.9
  To a moderate extent 34.9 23.3, 48.0
  To a small extent 19.0 10.2, 30.9
  To no extent 11.1 4.6, 21.6
  No basis to judge 4.8 1.0, 13.3
  Do not know 11.1 4.6, 21.6

16d. Transparency in the promotion process

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents To a great extent 8.3 6.2, 10.9
  To a moderate extent 12.3 9.8, 14.8
  To a small extent 14.2 11.5, 16.9
  To no extent 36.8 33.1, 40.4
  No basis to judge 17.6 14.6, 20.6
  Do not know 10.9 8.4, 13.7
B Entry or Mid-Level Non-Supervisors To a great extent 5.7 3.8, 8.3
  To a moderate extent 12.1 9.2, 15.4
  To a small extent 11.8 9.0, 15.2
  To no extent 37.9 33.7, 42.0
  No basis to judge 19.7 16.2, 23.3
  Do not know 12.8 9.9, 16.3
C Supervisors To a great extent 18.2 11.6, 26.6
  To a moderate extent 13.3 7.7, 20.9
  To a small extent 23.2 15.8, 32.0
  To no extent 32.5 24.7, 40.3
  No basis to judge 9.4 4.8, 16.3
  Do not know 3.4 0.9, 8.5
D Corporation Finance To a great extent 1.4 0.0, 7.5
  To a moderate extent 6.9 2.3, 15.5
  To a small extent 6.9 2.3, 15.5
  To no extent 51.4 41.6, 61.2
  No basis to judge 18.1 10.0, 28.9
  Do not know 15.3 7.9, 25.7
E Division of Economic and Risk Analysis To a great extent 24.3 11.8, 41.2
  To a moderate extent 13.5 4.5, 28.8
  To a small extent 24.3 11.8, 41.2
  To no extent . Data Not Reported
  No basis to judge 5.4 0.7, 18.2
  Do not know 2.7 0.1, 14.2
F Enforcement To a great extent 11.0 6.5, 17.1
  To a moderate extent 13.2 8.3, 19.6
  To a small extent 13.9 8.8, 20.4
  To no extent 37.0 30.2, 43.8
  No basis to judge 18.2 12.4, 25.3
  Do not know 6.6 3.2, 11.8
G Investment Management To a great extent 0.0 0.0, 6.6
  To a moderate extent 18.2 8.2, 32.7
  To a small extent 20.5 9.8, 35.3
  To no extent 36.4 22.4, 52.2
  No basis to judge 13.6 5.2, 27.4
  Do not know 11.4 3.8, 24.6
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 . Data Not Reported
  No basis to judge . Data Not Reported
  Do not know . Data Not Reported
I Compliance Inspections and Examinations To a great extent 9.1 4.9, 15.2
  To a moderate extent 11.5 6.8, 18.0
  To a small extent 17.3 11.4, 24.6
  To no extent 27.7 20.4, 35.0
  No basis to judge 20.6 14.2, 28.2
  Do not know 13.8 8.6, 20.7
J Information Technology To a great extent 2.3 0.1, 12.0
  To a moderate extent 9.1 2.5, 21.7
  To a small extent 11.4 3.8, 24.6
  To no extent 56.8 46.5, 67.1
  No basis to judge 9.1 2.5, 21.7
  Do not know 11.4 3.8, 24.6
K Trading and Markets To a great extent 4.2 0.5, 14.3
  To a moderate extent 18.8 8.9, 32.6
  To a small extent 6.3 1.3, 17.2
  To no extent 41.7 31.2, 52.1
  No basis to judge 16.7 7.5, 30.2
  Do not know 12.5 4.7, 25.2
L Enforcement Regional Offices To a great extent 9.2 4.1, 17.3
  To a moderate extent 13.8 7.3, 22.9
  To a small extent 14.9 8.2, 24.2
  To no extent 39.1 29.8, 48.3
  No basis to judge 16.1 9.1, 25.5
  Do not know 6.9 2.6, 14.4
M Enforcement Headquarters To a great extent 13.8 6.5, 24.7
  To a moderate extent 12.3 5.5, 22.8
  To a small extent 12.3 5.5, 22.8
  To no extent 33.8 22.6, 46.6
  No basis to judge 21.5 12.3, 33.5
  Do not know 6.2 1.7, 15.0
N Compliance Inspections and Examinations Regional Offices To a great extent 9.0 3.7, 17.6
  To a moderate extent 10.3 4.5, 19.2
  To a small extent 16.7 9.2, 26.8
  To no extent 28.2 18.6, 39.5
  No basis to judge 21.8 13.2, 32.6
  Do not know 14.1 7.3, 23.8
O Compliance Inspections and Examinations Headquarters To a great extent 9.7 3.6, 19.9
  To a moderate extent 16.1 8.0, 27.7
  To a small extent 19.4 10.4, 31.4
  To no extent 25.8 15.5, 38.5
  No basis to judge 16.1 8.0, 27.7
  Do not know 12.9 5.7, 23.9

17. Over the past three years, to what extent, if at all, has management solicited employees' ideas and suggestions in developing initiatives designed to improve communication, the performance management system, and training opportunities? (Select one response per item.)

Management solicited employees'
ideas and suggestions in developing...

17a. Initiatives designed to improve communication

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents To a great extent 17.1 14.3, 20.0
  To a moderate extent 23.6 20.3, 26.8
  To a small extent 20.1 17.0, 23.2
  To no extent 18.8 15.9, 21.7
  Not aware of any such initiative 14.6 11.9, 17.4
  Do not know 5.8 4.0, 8.0
B Entry or Mid-Level Non-Supervisors To a great extent 15.9 12.8, 19.0
  To a moderate extent 22.8 19.3, 26.4
  To a small extent 17.9 14.6, 21.3
  To no extent 20.3 16.9, 23.7
  Not aware of any such initiative 16.9 13.6, 20.2
  Do not know 6.2 4.1, 8.8
C Supervisors To a great extent 22.0 14.8, 30.7
  To a moderate extent 26.4 18.6, 35.4
  To a small extent 28.5 20.5, 36.4
  To no extent 13.2 7.6, 20.8
  Not aware of any such initiative 5.9 2.3, 11.9
  Do not know 4.2 1.3, 9.6
D Corporation Finance To a great extent 6.9 2.3, 15.5
  To a moderate extent 15.3 7.9, 25.7
  To a small extent 18.1 10.0, 28.9
  To no extent 34.7 25.4, 44.0
  Not aware of any such initiative 16.7 8.9, 27.3
  Do not know 8.3 3.1, 17.3
E Division of Economic and Risk Analysis To a great extent . Data Not Reported
  To a moderate extent . Data Not Reported
  To a small extent 13.5 4.5, 28.8
  To no extent 13.5 4.5, 28.8
  Not aware of any such initiative 8.1 1.7, 21.9
  Do not know 5.4 0.7, 18.2
F Enforcement To a great extent 17.8 12.1, 24.9
  To a moderate extent 25.5 19.3, 31.6
  To a small extent 15.9 10.5, 22.7
  To no extent 16.7 11.1, 23.6
  Not aware of any such initiative 18.8 12.9, 25.9
  Do not know 5.3 2.3, 10.2
G Investment Management To a great extent 20.9 10.0, 36.0
  To a moderate extent 44.2 33.9, 54.5
  To a small extent 11.6 3.9, 25.1
  To no extent 7.0 1.5, 19.1
  Not aware of any such initiative 9.3 2.6, 22.1
  Do not know 7.0 1.5, 19.1
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 8.7 1.1, 28.0
  Not aware of any such initiative 0.0 0.0, 12.2
  Do not know 0.0 0.0, 12.2
I Compliance Inspections and Examinations To a great extent 19.8 13.6, 27.3
  To a moderate extent 22.3 15.8, 30.1
  To a small extent 24.9 18.0, 32.9
  To no extent 14.4 9.0, 21.2
  Not aware of any such initiative 13.0 8.0, 19.7
  Do not know 5.6 2.4, 11.0
J Information Technology To a great extent 2.3 0.1, 12.0
  To a moderate extent 20.5 9.8, 35.3
  To a small extent 34.1 20.5, 49.9
  To no extent 31.8 18.6, 47.6
  Not aware of any such initiative 4.5 0.6, 15.5
  Do not know 6.8 1.4, 18.7
K Trading and Markets To a great extent 14.6 6.1, 27.8
  To a moderate extent 20.8 10.5, 35.0
  To a small extent 18.8 8.9, 32.6
  To no extent 25.0 13.6, 39.6
  Not aware of any such initiative 16.7 7.5, 30.2
  Do not know 4.2 0.5, 14.3
L Enforcement Regional Offices To a great extent 17.2 10.0, 26.8
  To a moderate extent 28.7 19.5, 39.4
  To a small extent 16.1 9.1, 25.5
  To no extent 18.4 10.9, 28.1
  Not aware of any such initiative 13.8 7.3, 22.9
  Do not know 5.7 1.9, 12.9
M Enforcement Headquarters To a great extent 18.7 10.1, 30.5
  To a moderate extent 20.3 11.3, 32.2
  To a small extent 15.6 7.8, 26.9
  To no extent 14.1 6.6, 25.0
  Not aware of any such initiative 26.6 16.3, 39.1
  Do not know 4.7 1.0, 13.1
N Compliance Inspections and Examinations Regional Offices To a great extent 16.5 9.1, 26.5
  To a moderate extent 22.8 14.1, 33.6
  To a small extent 27.8 18.3, 39.1
  To no extent 13.9 7.2, 23.5
  Not aware of any such initiative 12.7 6.2, 22.0
  Do not know 6.3 2.1, 14.2
O Compliance Inspections and Examinations Headquarters To a great extent 31.7 20.6, 44.7
  To a moderate extent 20.6 11.5, 32.7
  To a small extent 14.3 6.7, 25.4
  To no extent 15.9 7.9, 27.3
  Not aware of any such initiative 14.3 6.7, 25.4
  Do not know 3.2 0.4, 11.0

17b. Initiatives designed to improve training opportunities

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents To a great extent 19.0 15.9, 22.0
  To a moderate extent 29.4 25.8, 32.9
  To a small extent 21.5 18.3, 24.7
  To no extent 12.8 10.4, 15.3
  Not aware of any such initiative 11.0 8.5, 13.9
  Do not know 6.3 4.4, 8.7
B Entry or Mid-Level Non-Supervisors To a great extent 17.8 14.4, 21.2
  To a moderate extent 27.4 23.6, 31.2
  To a small extent 21.2 17.6, 24.8
  To no extent 13.7 10.7, 17.3
  Not aware of any such initiative 13.2 10.2, 16.7
  Do not know 6.6 4.5, 9.4
C Supervisors To a great extent 23.4 16.0, 32.2
  To a moderate extent 36.8 28.2, 45.3
  To a small extent 22.6 15.3, 31.4
  To no extent 9.5 4.8, 16.4
  Not aware of any such initiative 2.8 0.6, 7.7
  Do not know 5.0 1.8, 10.8
D Corporation Finance To a great extent 16.9 9.0, 27.7
  To a moderate extent 28.2 18.1, 40.1
  To a small extent 18.3 10.1, 29.3
  To no extent 14.1 7.0, 24.4
  Not aware of any such initiative 11.3 5.0, 21.0
  Do not know 11.3 5.0, 21.0
E Division of Economic and Risk Analysis To a great extent 18.9 8.0, 35.2
  To a moderate extent 24.3 11.8, 41.2
  To a small extent 16.2 6.2, 32.0
  To no extent 13.5 4.5, 28.8
  Not aware of any such initiative 13.5 4.5, 28.8
  Do not know 13.5 4.5, 28.8
F Enforcement To a great extent 16.6 11.1, 23.6
  To a moderate extent 26.7 20.4, 33.0
  To a small extent 18.8 12.9, 26.0
  To no extent 12.7 7.8, 19.1
  Not aware of any such initiative 17.7 11.9, 24.7
  Do not know 7.5 3.8, 12.9
G Investment Management To a great extent 20.9 10.0, 36.0
  To a moderate extent . Data Not Reported
  To a small extent 20.9 10.0, 36.0
  To no extent 9.3 2.6, 22.1
  Not aware of any such initiative 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 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, 12.7
  Not aware of any such initiative 4.5 0.1, 22.8
  Do not know 0.0 0.0, 12.7
I Compliance Inspections and Examinations To a great extent 25.3 18.2, 32.3
  To a moderate extent 34.8 27.0, 42.6
  To a small extent 23.7 16.8, 31.8
  To no extent 8.9 4.8, 14.9
  Not aware of any such initiative 4.5 1.7, 9.4
  Do not know 2.7 0.7, 7.0
J Information Technology To a great extent 2.3 0.1, 12.0
  To a moderate extent 15.9 6.6, 30.1
  To a small extent 25.0 13.2, 40.3
  To no extent . Data Not Reported
  Not aware of any such initiative 6.8 1.4, 18.7
  Do not know 9.1 2.5, 21.7
K Trading and Markets To a great extent 14.6 6.1, 27.8
  To a moderate extent 27.1 15.3, 41.8
  To a small extent 25.0 13.6, 39.6
  To no extent 14.6 6.1, 27.8
  Not aware of any such initiative 12.5 4.7, 25.2
  Do not know 6.3 1.3, 17.2
L Enforcement Regional Offices To a great extent 16.3 9.2, 25.8
  To a moderate extent 26.7 17.8, 37.4
  To a small extent 20.9 12.9, 31.0
  To no extent 12.8 6.6, 21.7
  Not aware of any such initiative 14.0 7.4, 23.1
  Do not know 9.3 4.1, 17.5
M Enforcement Headquarters To a great extent 17.2 8.9, 28.7
  To a moderate extent 26.6 16.3, 39.1
  To a small extent 15.6 7.8, 26.9
  To no extent 12.5 5.6, 23.2
  Not aware of any such initiative 23.4 13.8, 35.7
  Do not know 4.7 1.0, 13.1
N Compliance Inspections and Examinations Regional Offices To a great extent 24.7 15.6, 35.8
  To a moderate extent 35.1 25.4, 44.8
  To a small extent 27.3 17.7, 38.6
  To no extent 7.8 2.9, 16.2
  Not aware of any such initiative 2.6 0.3, 9.1
  Do not know 2.6 0.3, 9.1
O Compliance Inspections and Examinations Headquarters To a great extent 27.4 16.9, 40.2
  To a moderate extent 33.9 22.3, 47.0
  To a small extent 11.3 4.7, 21.9
  To no extent 12.9 5.7, 23.9
  Not aware of any such initiative 11.3 4.7, 21.9
  Do not know 3.2 0.4, 11.2

18. Over the past three years, how satisfied or dissatisfied have you been with initiatives management developed to improve communication, the performance management system, and training opportunities? (Select one response per item.)

18a. Initiatives designed to improve communication

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Very satisfied 13.6 11.0, 16.2
  Somewhat satisfied 33.1 29.4, 36.7
  Somewhat dissatisfied 13.7 11.1, 16.4
  Very dissatisfied 10.2 7.8, 13.0
  Not aware of any such initiative 25.4 22.0, 28.8
  Do not know 4.0 2.5, 6.0
B Entry or Mid-Level Non-Supervisors Very satisfied 12.4 9.5, 15.9
  Somewhat satisfied 31.9 27.9, 35.9
  Somewhat dissatisfied 12.7 9.8, 16.2
  Very dissatisfied 11.2 8.4, 14.5
  Not aware of any such initiative 27.4 23.5, 31.3
  Do not know 4.3 2.6, 6.7
C Supervisors Very satisfied 18.2 11.6, 26.6
  Somewhat satisfied 37.6 29.1, 46.0
  Somewhat dissatisfied 17.6 11.1, 25.9
  Very dissatisfied 6.3 2.6, 12.5
  Not aware of any such initiative 17.7 11.1, 26.0
  Do not know 2.6 0.5, 7.5
D Corporation Finance Very satisfied 7.0 2.3, 15.7
  Somewhat satisfied 19.7 11.2, 30.9
  Somewhat dissatisfied 21.1 12.3, 32.4
  Very dissatisfied 16.9 9.0, 27.7
  Not aware of any such initiative 28.2 18.1, 40.1
  Do not know 7.0 2.3, 15.7
E Division of Economic and Risk Analysis Very satisfied . Data Not Reported
  Somewhat satisfied . Data Not Reported
  Somewhat dissatisfied 8.1 1.7, 21.9
  Very dissatisfied 16.2 6.2, 32.0
  Not aware of any such initiative 10.8 3.0, 25.4
  Do not know 8.1 1.7, 21.9
F Enforcement Very satisfied 16.3 10.8, 23.1
  Somewhat satisfied 28.3 22.0, 34.7
  Somewhat dissatisfied 13.0 8.1, 19.4
  Very dissatisfied 7.3 3.7, 12.6
  Not aware of any such initiative 33.0 26.5, 39.6
  Do not know 2.1 0.5, 5.8
G Investment Management Very satisfied 11.4 3.8, 24.6
  Somewhat satisfied 56.8 46.7, 67.0
  Somewhat dissatisfied 13.6 5.2, 27.4
  Very dissatisfied 4.5 0.6, 15.5
  Not aware of any such initiative 11.4 3.8, 24.6
  Do not know 2.3 0.1, 12.0
H Office of the Chief Accountant and Office of Credit Ratings Very satisfied . Data Not Reported
  Somewhat satisfied . Data Not Reported
  Somewhat dissatisfied . Data Not Reported
  Very dissatisfied 8.7 1.1, 28.0
  Not aware of any such initiative 4.3 0.1, 21.9
  Do not know 0.0 0.0, 12.2
I Compliance Inspections and Examinations Very satisfied 12.1 7.2, 18.6
  Somewhat satisfied 42.0 34.0, 50.0
  Somewhat dissatisfied 12.0 7.1, 18.5
  Very dissatisfied 7.4 3.7, 13.0
  Not aware of any such initiative 23.0 16.3, 30.8
  Do not know 3.7 1.2, 8.2
J Information Technology Very satisfied 2.4 0.1, 12.6
  Somewhat satisfied 31.0 17.6, 47.1
  Somewhat dissatisfied 21.4 10.3, 36.8
  Very dissatisfied 28.6 15.7, 44.6
  Not aware of any such initiative 9.5 2.7, 22.6
  Do not know 7.1 1.5, 19.5
K Trading and Markets Very satisfied 19.1 9.1, 33.3
  Somewhat satisfied 25.5 13.9, 40.3
  Somewhat dissatisfied 4.3 0.5, 14.5
  Very dissatisfied 14.9 6.2, 28.3
  Not aware of any such initiative 27.7 15.6, 42.6
  Do not know 8.5 2.4, 20.4
L Enforcement Regional Offices Very satisfied 15.9 9.0, 25.2
  Somewhat satisfied 30.7 22.0, 39.4
  Somewhat dissatisfied 12.5 6.4, 21.3
  Very dissatisfied 8.0 3.3, 15.7
  Not aware of any such initiative 29.5 21.0, 38.1
  Do not know 3.4 0.7, 9.6
M Enforcement Headquarters Very satisfied 16.9 8.8, 28.3
  Somewhat satisfied 24.6 14.8, 36.9
  Somewhat dissatisfied 13.8 6.5, 24.7
  Very dissatisfied 6.2 1.7, 15.0
  Not aware of any such initiative 38.5 28.4, 48.6
  Do not know 0.0 0.0, 4.5
N Compliance Inspections and Examinations Regional Offices Very satisfied 10.1 4.5, 19.0
  Somewhat satisfied 43.0 33.1, 53.0
  Somewhat dissatisfied 12.7 6.2, 22.0
  Very dissatisfied 6.3 2.1, 14.2
  Not aware of any such initiative 24.1 15.1, 35.0
  Do not know 3.8 0.8, 10.7
O Compliance Inspections and Examinations Headquarters Very satisfied 19.0 10.2, 30.9
  Somewhat satisfied 38.1 29.0, 47.2
  Somewhat dissatisfied 9.5 3.6, 19.6
  Very dissatisfied 11.1 4.6, 21.6
  Not aware of any such initiative 19.0 10.2, 30.9
  Do not know 3.2 0.4, 11.0

18b. Initiatives designed to improve the performance management system

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Very satisfied 6.3 4.4, 8.6
  Somewhat satisfied 21.6 18.5, 24.8
  Somewhat dissatisfied 15.9 13.1, 18.8
  Very dissatisfied 20.4 17.3, 23.5
  Not aware of any such initiative 26.7 23.2, 30.1
  Do not know 9.0 6.8, 11.7
B Entry or Mid-Level Non-Supervisors Very satisfied 5.5 3.6, 8.0
  Somewhat satisfied 19.5 16.0, 22.9
  Somewhat dissatisfied 14.2 11.1, 17.2
  Very dissatisfied 20.4 16.9, 23.9
  Not aware of any such initiative 30.6 26.6, 34.6
  Do not know 9.9 7.3, 13.0
C Supervisors Very satisfied 9.5 4.7, 16.5
  Somewhat satisfied 29.8 22.2, 37.5
  Somewhat dissatisfied 22.8 15.4, 31.6
  Very dissatisfied 20.4 13.5, 29.0
  Not aware of any such initiative 11.7 6.4, 19.1
  Do not know 5.8 2.3, 11.8
D Corporation Finance Very satisfied 2.9 0.3, 9.9
  Somewhat satisfied 20.0 11.4, 31.3
  Somewhat dissatisfied 17.1 9.2, 28.0
  Very dissatisfied 22.9 13.7, 34.4
  Not aware of any such initiative 25.7 16.0, 37.6
  Do not know 11.4 5.1, 21.3
E Division of Economic and Risk Analysis Very satisfied 10.8 3.0, 25.4
  Somewhat satisfied . Data Not Reported
  Somewhat dissatisfied 10.8 3.0, 25.4
  Very dissatisfied 16.2 6.2, 32.0
  Not aware of any such initiative 21.6 9.8, 38.2
  Do not know 10.8 3.0, 25.4
F Enforcement Very satisfied 7.8 4.1, 13.2
  Somewhat satisfied 20.0 13.9, 27.2
  Somewhat dissatisfied 17.5 11.8, 24.5
  Very dissatisfied 15.6 10.3, 22.4
  Not aware of any such initiative 33.2 26.6, 39.8
  Do not know 6.0 2.8, 11.0
G Investment Management Very satisfied 4.5 0.6, 15.5
  Somewhat satisfied 27.3 15.0, 42.8
  Somewhat dissatisfied 9.1 2.5, 21.7
  Very dissatisfied 15.9 6.6, 30.1
  Not aware of any such initiative 25.0 13.2, 40.3
  Do not know 18.2 8.2, 32.7
H Office of the Chief Accountant and Office of Credit Ratings Very satisfied 8.7 1.1, 28.0
  Somewhat satisfied . Data Not Reported
  Somewhat dissatisfied . Data Not Reported
  Very dissatisfied . Data Not Reported
  Not aware of any such initiative 8.7 1.1, 28.0
  Do not know 8.7 1.1, 28.0
I Compliance Inspections and Examinations Very satisfied 5.3 2.3, 10.4
  Somewhat satisfied 23.0 16.4, 30.8
  Somewhat dissatisfied 14.3 9.0, 21.2
  Very dissatisfied 25.3 18.3, 32.4
  Not aware of any such initiative 23.6 16.9, 31.5
  Do not know 8.4 4.4, 14.2
J Information Technology Very satisfied 2.4 0.1, 12.6
  Somewhat satisfied 23.8 12.1, 39.5
  Somewhat dissatisfied 19.0 8.6, 34.1
  Very dissatisfied 31.0 17.6, 47.1
  Not aware of any such initiative 14.3 5.4, 28.5
  Do not know 9.5 2.7, 22.6
K Trading and Markets Very satisfied 10.4 3.5, 22.7
  Somewhat satisfied 12.5 4.7, 25.2
  Somewhat dissatisfied 14.6 6.1, 27.8
  Very dissatisfied 18.8 8.9, 32.6
  Not aware of any such initiative 27.1 15.3, 41.8
  Do not know 16.7 7.5, 30.2
L Enforcement Regional Offices Very satisfied 6.8 2.5, 14.3
  Somewhat satisfied 23.9 15.4, 34.1
  Somewhat dissatisfied 15.9 9.0, 25.2
  Very dissatisfied 14.8 8.1, 23.9
  Not aware of any such initiative 31.8 23.0, 40.6
  Do not know 6.8 2.5, 14.3
M Enforcement Headquarters Very satisfied 9.2 3.5, 19.0
  Somewhat satisfied 13.8 6.5, 24.7
  Somewhat dissatisfied 20.0 11.1, 31.8
  Very dissatisfied 16.9 8.8, 28.3
  Not aware of any such initiative 35.4 25.4, 45.3
  Do not know 4.6 1.0, 12.9
N Compliance Inspections and Examinations Regional Offices Very satisfied 5.1 1.4, 12.5
  Somewhat satisfied 22.8 14.1, 33.6
  Somewhat dissatisfied 15.2 8.1, 25.0
  Very dissatisfied 25.3 16.2, 36.4
  Not aware of any such initiative 24.1 15.1, 35.0
  Do not know 7.6 2.8, 15.8
O Compliance Inspections and Examinations Headquarters Very satisfied 6.3 1.8, 15.5
  Somewhat satisfied 23.8 14.0, 36.2
  Somewhat dissatisfied 11.1 4.6, 21.6
  Very dissatisfied 25.4 15.3, 37.9
  Not aware of any such initiative 22.2 12.7, 34.5
  Do not know 11.1 4.6, 21.6

18c. Initiatives designed to improve training opportunities

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Very satisfied 14.3 11.6, 17.0
  Somewhat satisfied 43.9 40.1, 47.7
  Somewhat dissatisfied 11.7 9.3, 14.1
  Very dissatisfied 6.6 4.7, 9.0
  Not aware of any such initiative 18.2 15.2, 21.1
  Do not know 5.3 3.6, 7.6
B Entry or Mid-Level Non-Supervisors Very satisfied 13.7 10.7, 17.3
  Somewhat satisfied 42.1 37.8, 46.3
  Somewhat dissatisfied 11.0 8.3, 14.3
  Very dissatisfied 6.5 4.4, 9.2
  Not aware of any such initiative 20.8 17.3, 24.2
  Do not know 5.9 3.9, 8.5
C Supervisors Very satisfied 16.5 10.2, 24.7
  Somewhat satisfied 50.9 42.2, 59.6
  Somewhat dissatisfied 14.2 8.4, 22.1
  Very dissatisfied 7.1 3.1, 13.6
  Not aware of any such initiative 8.1 3.8, 14.7
  Do not know 3.2 0.8, 8.3
D Corporation Finance Very satisfied 11.4 5.1, 21.3
  Somewhat satisfied 41.4 31.7, 51.2
  Somewhat dissatisfied 15.7 8.1, 26.4
  Very dissatisfied 7.1 2.4, 15.9
  Not aware of any such initiative 17.1 9.2, 28.0
  Do not know 7.1 2.4, 15.9
E Division of Economic and Risk Analysis Very satisfied 18.9 8.0, 35.2
  Somewhat satisfied 21.6 9.8, 38.2
  Somewhat dissatisfied 10.8 3.0, 25.4
  Very dissatisfied 8.1 1.7, 21.9
  Not aware of any such initiative 24.3 11.8, 41.2
  Do not know 16.2 6.2, 32.0
F Enforcement Very satisfied 18.5 12.7, 25.6
  Somewhat satisfied 36.8 30.0, 43.6
  Somewhat dissatisfied 9.7 5.5, 15.6
  Very dissatisfied 2.7 0.8, 6.7
  Not aware of any such initiative 27.4 21.2, 33.7
  Do not know 4.8 2.0, 9.5
G Investment Management Very satisfied 11.4 3.8, 24.6
  Somewhat satisfied 50.0 39.8, 60.2
  Somewhat dissatisfied 13.6 5.2, 27.4
  Very dissatisfied 6.8 1.4, 18.7
  Not aware of any such initiative 11.4 3.8, 24.6
  Do not know 6.8 1.4, 18.7
H Office of the Chief Accountant and Office of Credit Ratings Very satisfied . Data Not Reported
  Somewhat satisfied . Data Not Reported
  Somewhat dissatisfied . Data Not Reported
  Very dissatisfied 8.7 1.1, 28.0
  Not aware of any such initiative 8.7 1.1, 28.0
  Do not know 0.0 0.0, 12.2
I Compliance Inspections and Examinations Very satisfied 12.5 7.6, 19.2
  Somewhat satisfied 56.6 48.6, 64.6
  Somewhat dissatisfied 10.1 5.7, 16.4
  Very dissatisfied 6.8 3.2, 12.3
  Not aware of any such initiative 9.8 5.5, 16.0
  Do not know 4.1 1.5, 8.9
J Information Technology Very satisfied 0.0 0.0, 6.9
  Somewhat satisfied . Data Not Reported
  Somewhat dissatisfied 21.4 10.3, 36.8
  Very dissatisfied 28.6 15.7, 44.6
  Not aware of any such initiative 9.5 2.7, 22.6
  Do not know 2.4 0.1, 12.6
K Trading and Markets Very satisfied 14.6 6.1, 27.8
  Somewhat satisfied 39.6 25.8, 54.7
  Somewhat dissatisfied 8.3 2.3, 20.0
  Very dissatisfied 8.3 2.3, 20.0
  Not aware of any such initiative 20.8 10.5, 35.0
  Do not know 8.3 2.3, 20.0
L Enforcement Regional Offices Very satisfied 19.5 11.8, 29.4
  Somewhat satisfied 36.8 27.7, 45.9
  Somewhat dissatisfied 8.0 3.3, 15.9
  Very dissatisfied 3.4 0.7, 9.7
  Not aware of any such initiative 25.3 16.6, 35.7
  Do not know 6.9 2.6, 14.4
M Enforcement Headquarters Very satisfied 16.9 8.8, 28.3
  Somewhat satisfied 36.9 26.9, 47.0
  Somewhat dissatisfied 12.3 5.5, 22.8
  Very dissatisfied 1.5 0.0, 8.3
  Not aware of any such initiative 30.8 19.9, 43.4
  Do not know 1.5 0.0, 8.3
N Compliance Inspections and Examinations Regional Offices Very satisfied 11.5 5.4, 20.8
  Somewhat satisfied 60.3 50.4, 70.1
  Somewhat dissatisfied 10.3 4.5, 19.2
  Very dissatisfied 6.4 2.1, 14.3
  Not aware of any such initiative 9.0 3.7, 17.6
  Do not know 2.6 0.3, 9.0
O Compliance Inspections and Examinations Headquarters Very satisfied 16.1 8.0, 27.7
  Somewhat satisfied 43.5 34.2, 52.9
  Somewhat dissatisfied 9.7 3.6, 19.9
  Very dissatisfied 8.1 2.7, 17.8
  Not aware of any such initiative 12.9 5.7, 23.9
  Do not know 9.7 3.6, 19.9

19. Are the numbers of supervisors and managers currently in your division/office more than is needed, less than is needed, or an appropriate amount given the current workload?

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents More than needed 16.2 13.4, 19.0
  An appropriate amount 52.9 49.1, 56.6
  Less than needed 19.0 16.1, 21.9
  Do not know 12.0 9.5, 14.5
B Entry or Mid-Level Non-Supervisors More than needed 16.7 13.5, 19.8
  An appropriate amount 50.3 46.1, 54.6
  Less than needed 18.9 15.7, 22.1
  Do not know 14.1 11.0, 17.2
C Supervisors More than needed 14.3 8.4, 22.1
  An appropriate amount 62.6 54.3, 70.9
  Less than needed 19.2 12.4, 27.7
  Do not know 3.9 1.2, 9.3
D Corporation Finance More than needed 18.3 10.1, 29.3
  An appropriate amount 40.8 31.2, 50.5
  Less than needed 16.9 9.0, 27.7
  Do not know 23.9 14.6, 35.5
E Division of Economic and Risk Analysis More than needed 2.8 0.1, 14.5
  An appropriate amount 19.4 8.2, 36.0
  Less than needed . Data Not Reported
  Do not know 2.8 0.1, 14.5
F Enforcement More than needed 7.9 4.1, 13.3
  An appropriate amount 68.1 61.5, 74.6
  Less than needed 13.7 8.7, 20.2
  Do not know 10.3 6.0, 16.3
G Investment Management More than needed 18.2 8.2, 32.7
  An appropriate amount 56.8 46.7, 67.0
  Less than needed 18.2 8.2, 32.7
  Do not know 6.8 1.4, 18.7
H Office of the Chief Accountant and Office of Credit Ratings More than needed . Data Not Reported
  An appropriate amount . Data Not Reported
  Less than needed . Data Not Reported
  Do not know 0.0 0.0, 12.2
I Compliance Inspections and Examinations More than needed 22.6 16.0, 30.4
  An appropriate amount 43.6 35.6, 51.7
  Less than needed 21.8 15.3, 29.5
  Do not know 12.0 7.1, 18.5
J Information Technology More than needed . Data Not Reported
  An appropriate amount 45.5 35.1, 55.8
  Less than needed 11.4 3.8, 24.6
  Do not know 4.5 0.6, 15.5
K Trading and Markets More than needed 10.6 3.5, 23.1
  An appropriate amount 53.2 42.5, 63.9
  Less than needed 19.1 9.1, 33.3
  Do not know 17.0 7.6, 30.8
L Enforcement Regional Offices More than needed 8.0 3.3, 15.7
  An appropriate amount 69.3 60.6, 78.0
  Less than needed 13.6 7.2, 22.6
  Do not know 9.1 4.0, 17.1
M Enforcement Headquarters More than needed 7.7 2.5, 17.0
  An appropriate amount 66.2 53.4, 77.4
  Less than needed 13.8 6.5, 24.7
  Do not know 12.3 5.5, 22.8
N Compliance Inspections and Examinations Regional Offices More than needed 24.1 15.1, 35.0
  An appropriate amount 44.3 34.3, 54.3
  Less than needed 19.0 11.0, 29.4
  Do not know 12.7 6.2, 22.0
O Compliance Inspections and Examinations Headquarters More than needed 17.5 9.1, 29.1
  An appropriate amount 41.3 32.1, 50.5
  Less than needed 31.7 20.6, 44.7
  Do not know 9.5 3.6, 19.6

20. Are the numbers of supervisory levels currently in your division/office more than is needed, less than is needed, or an appropriate amount given the current workload?

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents More than needed 17.7 14.8, 20.6
  An appropriate amount 60.2 56.5, 63.9
  Less than needed 9.9 7.5, 12.7
  Do not know 12.2 9.6, 14.8
B Entry or Mid-Level Non-Supervisors More than needed 18.3 15.1, 21.5
  An appropriate amount 57.5 53.3, 61.7
  Less than needed 10.2 7.5, 13.3
  Do not know 14.1 11.0, 17.2
C Supervisors More than needed 15.4 9.3, 23.3
  An appropriate amount 70.8 63.1, 78.6
  Less than needed 8.8 4.3, 15.6
  Do not know 5.0 1.8, 10.8
D Corporation Finance More than needed 20.8 12.2, 32.0
  An appropriate amount 47.2 37.5, 57.0
  Less than needed 11.1 4.9, 20.7
  Do not know 20.8 12.2, 32.0
E Division of Economic and Risk Analysis More than needed 13.9 4.7, 29.5
  An appropriate amount . Data Not Reported
  Less than needed 16.7 6.4, 32.8
  Do not know 13.9 4.7, 29.5
F Enforcement More than needed 7.9 4.1, 13.3
  An appropriate amount 73.0 66.9, 79.2
  Less than needed 9.2 5.1, 14.9
  Do not know 9.9 5.7, 15.8
G Investment Management More than needed 22.7 11.5, 37.8
  An appropriate amount . Data Not Reported
  Less than needed 9.1 2.5, 21.7
  Do not know 9.1 2.5, 21.7
H Office of the Chief Accountant and Office of Credit Ratings More than needed . Data Not Reported
  An appropriate amount . Data Not Reported
  Less than needed 0.0 0.0, 12.2
  Do not know 4.3 0.1, 21.9
I Compliance Inspections and Examinations More than needed 22.5 15.9, 30.4
  An appropriate amount 54.4 46.4, 62.5
  Less than needed 10.4 5.9, 16.6
  Do not know 12.6 7.6, 19.3
J Information Technology More than needed 47.7 37.4, 58.1
  An appropriate amount 31.8 18.6, 47.6
  Less than needed 11.4 3.8, 24.6
  Do not know 9.1 2.5, 21.7
K Trading and Markets More than needed 17.0 7.6, 30.8
  An appropriate amount 61.7 46.4, 75.5
  Less than needed 8.5 2.4, 20.4
  Do not know 12.8 4.8, 25.7
L Enforcement Regional Offices More than needed 8.0 3.3, 15.7
  An appropriate amount 78.4 68.4, 86.5
  Less than needed 2.3 0.3, 8.0
  Do not know 11.4 5.6, 19.9
M Enforcement Headquarters More than needed 7.7 2.5, 17.0
  An appropriate amount 64.6 54.7, 74.6
  Less than needed 20.0 11.1, 31.8
  Do not know 7.7 2.5, 17.0
N Compliance Inspections and Examinations Regional Offices More than needed 25.3 16.2, 36.4
  An appropriate amount 51.9 41.9, 61.9
  Less than needed 8.9 3.6, 17.4
  Do not know 13.9 7.2, 23.5
O Compliance Inspections and Examinations Headquarters More than needed 12.7 5.6, 23.5
  An appropriate amount 63.5 54.5, 72.5
  Less than needed 15.9 7.9, 27.3
  Do not know 7.9 2.6, 17.6

NOTE REGARDING QUESTIONS 21 AND 22: Your direct supervisor is the next person above you in the chain of command to whom you report. It is the person who more often than anyone else directs your work on a day-to-day basis or who has the authority to direct your work, assign tasks, or reward, promote and discipline you.

As a reminder, your responses will be kept confidential, which means that GAO will not release individually identifiable information unless compelled by a court or requested by the Congress. GAO's final report will only present results in summary form.

21. What is your current direct supervisor's position or title?

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Branch Chief 17.7 15.6, 19.8
  Exam Manager 4.8 3.2, 7.0
  Assistant Director 55.3 51.8, 58.9
  Associate Director 12.4 10.0, 14.9
  Other 9.7 7.4, 12.5
B Entry or Mid-Level Non-Supervisors Branch Chief 21.9 19.3, 24.5
  Exam Manager 5.0 3.1, 7.6
  Assistant Director 57.3 53.5, 61.1
  Associate Director 6.5 4.4, 9.2
  Other 9.3 6.7, 12.3
C Supervisors Branch Chief 1.4 0.1, 5.6
  Exam Manager 4.0 1.1, 9.8
  Assistant Director 47.6 39.2, 56.1
  Associate Director 35.5 27.5, 43.5
  Other 11.5 6.3, 18.9
D Corporation Finance Branch Chief 55.6 45.8, 65.3
  Exam Manager 0.0 0.0, 4.1
  Assistant Director 15.3 7.9, 25.7
  Associate Director 5.6 1.5, 13.6
  Other 23.6 14.4, 35.1
E Division of Economic and Risk Analysis Branch Chief 10.8 3.0, 25.4
  Exam Manager 0.0 0.0, 7.8
  Assistant Director . Data Not Reported
  Associate Director . Data Not Reported
  Other 10.8 3.0, 25.4
F Enforcement Branch Chief 0.7 0.0, 3.7
  Exam Manager 0.0 0.0, 1.9
  Assistant Director 72.7 66.4, 78.9
  Associate Director 13.2 8.3, 19.6
  Other 13.4 8.5, 19.9
G Investment Management Branch Chief . Data Not Reported
  Exam Manager 0.0 0.0, 6.6
  Assistant Director 31.8 18.6, 47.6
  Associate Director 4.5 0.6, 15.5
  Other 4.5 0.6, 15.5
H Office of the Chief Accountant and Office of Credit Ratings Branch Chief . Data Not Reported
  Exam Manager 0.0 0.0, 12.2
  Assistant Director . Data Not Reported
  Associate Director 8.7 1.1, 28.0
  Other . Data Not Reported
I Compliance Inspections and Examinations Branch Chief 4.7 1.9, 9.6
  Exam Manager 15.7 10.1, 22.7
  Assistant Director 66.1 58.7, 73.4
  Associate Director 12.1 7.3, 18.7
  Other 1.4 0.2, 5.0
J Information Technology Branch Chief 70.5 54.8, 83.2
  Exam Manager 0.0 0.0, 6.6
  Assistant Director 18.2 8.2, 32.7
  Associate Director 9.1 2.5, 21.7
  Other 2.3 0.1, 12.0
K Trading and Markets Branch Chief 26.1 14.3, 41.1
  Exam Manager 0.0 0.0, 6.3
  Assistant Director 52.2 41.4, 63.0
  Associate Director 21.7 10.9, 36.4
  Other 0.0 0.0, 6.3
L Enforcement Regional Offices Branch Chief 1.1 0.0, 6.2
  Exam Manager 0.0 0.0, 3.3
  Assistant Director 73.9 63.4, 82.7
  Associate Director 14.8 8.1, 23.9
  Other 10.2 4.8, 18.5
M Enforcement Headquarters Branch Chief 0.0 0.0, 4.5
  Exam Manager 0.0 0.0, 4.5
  Assistant Director 70.8 58.2, 81.4
  Associate Director 10.8 4.4, 20.9
  Other 18.5 9.9, 30.0
N Compliance Inspections and Examinations Regional Offices Branch Chief 3.8 0.8, 10.7
  Exam Manager 15.2 8.1, 25.0
  Assistant Director 72.2 60.9, 81.7
  Associate Director 8.9 3.6, 17.4
  Other 0.0 0.0, 3.7
O Compliance Inspections and Examinations Headquarters Branch Chief 7.9 2.6, 17.6
  Exam Manager 17.5 9.1, 29.1
  Assistant Director 44.4 35.2, 53.7
  Associate Director 23.8 14.0, 36.2
  Other 6.3 1.8, 15.5


Please specify the "other" direct
supervisor's position or title:

data intentionally not reported


22. To what extent do you agree or disagree with the following statements regarding your current direct supervisor? (Select one response per item.)

My direct supervisor ...

22a. Is knowledgeable in the issue areas I conduct my work.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 68.2 64.7, 71.7
  Somewhat agree 21.1 17.9, 24.2
  Neither agree nor disagree 4.7 3.1, 6.8
  Somewhat disagree 3.5 2.1, 5.3
  Strongly disagree 2.1 1.1, 3.6
  Do not know 0.5 0.1, 1.5
B Entry or Mid-Level Non-Supervisors Strongly agree 67.8 63.8, 71.8
  Somewhat agree 21.2 17.7, 24.8
  Neither agree nor disagree 4.3 2.6, 6.6
  Somewhat disagree 4.0 2.4, 6.2
  Strongly disagree 2.0 0.9, 3.8
  Do not know 0.7 0.1, 1.9
C Supervisors Strongly agree 69.7 61.9, 77.5
  Somewhat agree 20.4 13.4, 29.0
  Neither agree nor disagree 6.1 2.4, 12.4
  Somewhat disagree 1.5 0.1, 5.8
  Strongly disagree 2.3 0.4, 7.0
  Do not know 0.0 0.0, 2.6
D Corporation Finance Strongly agree 70.8 58.9, 81.0
  Somewhat agree 22.2 13.3, 33.6
  Neither agree nor disagree 2.8 0.3, 9.7
  Somewhat disagree 2.8 0.3, 9.7
  Strongly disagree 1.4 0.0, 7.5
  Do not know 0.0 0.0, 4.1
E Division of Economic and Risk Analysis Strongly agree . Data Not Reported
  Somewhat agree 24.3 11.8, 41.2
  Neither agree nor disagree 2.7 0.1, 14.2
  Somewhat disagree 5.4 0.7, 18.2
  Strongly disagree 2.7 0.1, 14.2
  Do not know 0.0 0.0, 7.8
F Enforcement Strongly agree 74.8 68.8, 80.9
  Somewhat agree 16.0 10.6, 22.8
  Neither agree nor disagree 3.9 1.4, 8.3
  Somewhat disagree 4.6 1.9, 9.2
  Strongly disagree 0.7 0.0, 3.7
  Do not know 0.0 0.0, 1.9
G Investment Management Strongly agree 56.8 46.7, 67.0
  Somewhat agree 29.5 16.8, 45.2
  Neither agree nor disagree 6.8 1.4, 18.7
  Somewhat disagree 4.5 0.6, 15.5
  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 4.3 0.1, 21.9
  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 67.0 59.2, 74.8
  Somewhat agree 24.3 17.4, 32.5
  Neither agree nor disagree 4.4 1.6, 9.6
  Somewhat disagree 0.7 0.0, 4.0
  Strongly disagree 1.7 0.3, 5.6
  Do not know 1.7 0.3, 5.6
J Information Technology Strongly agree . Data Not Reported
  Somewhat agree 31.8 18.6, 47.6
  Neither agree nor disagree 11.4 3.8, 24.6
  Somewhat disagree 4.5 0.6, 15.5
  Strongly disagree 13.6 5.2, 27.4
  Do not know 0.0 0.0, 6.6
K Trading and Markets Strongly agree 72.9 58.2, 84.7
  Somewhat agree 8.3 2.3, 20.0
  Neither agree nor disagree 8.3 2.3, 20.0
  Somewhat disagree 8.3 2.3, 20.0
  Strongly disagree 2.1 0.1, 11.1
  Do not know 0.0 0.0, 6.1
L Enforcement Regional Offices Strongly agree 78.4 68.4, 86.5
  Somewhat agree 12.5 6.4, 21.3
  Neither agree nor disagree 3.4 0.7, 9.6
  Somewhat disagree 4.5 1.3, 11.2
  Strongly disagree 1.1 0.0, 6.2
  Do not know 0.0 0.0, 3.3
M Enforcement Headquarters Strongly agree 69.2 56.6, 80.1
  Somewhat agree 21.5 12.3, 33.5
  Neither agree nor disagree 4.6 1.0, 12.9
  Somewhat disagree 4.6 1.0, 12.9
  Strongly disagree 0.0 0.0, 4.5
  Do not know 0.0 0.0, 4.5
N Compliance Inspections and Examinations Regional Offices Strongly agree 64.5 54.7, 74.3
  Somewhat agree 27.6 18.0, 39.1
  Neither agree nor disagree 5.3 1.5, 12.9
  Somewhat disagree 0.0 0.0, 3.9
  Strongly disagree 1.3 0.0, 7.1
  Do not know 1.3 0.0, 7.1
O Compliance Inspections and Examinations Headquarters Strongly agree 75.8 63.3, 85.8
  Somewhat agree 12.9 5.7, 23.9
  Neither agree nor disagree 1.6 0.0, 8.7
  Somewhat disagree 3.2 0.4, 11.2
  Strongly disagree 3.2 0.4, 11.2
  Do not know 3.2 0.4, 11.2

22b. Has the skills and expertise to be an effective supervisor or manager.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 60.4 56.6, 64.1
  Somewhat agree 21.0 17.9, 24.1
  Neither agree nor disagree 5.5 3.7, 7.7
  Somewhat disagree 7.0 5.0, 9.4
  Strongly disagree 5.0 3.4, 7.2
  Do not know 1.1 0.4, 2.4
B Entry or Mid-Level Non-Supervisors Strongly agree 59.8 55.7, 64.0
  Somewhat agree 22.0 18.5, 25.4
  Neither agree nor disagree 4.9 3.1, 7.4
  Somewhat disagree 7.2 5.0, 10.0
  Strongly disagree 4.9 3.1, 7.4
  Do not know 1.2 0.4, 2.7
C Supervisors Strongly agree 62.4 54.0, 70.8
  Somewhat agree 17.2 10.8, 25.5
  Neither agree nor disagree 7.6 3.3, 14.5
  Somewhat disagree 6.3 2.6, 12.5
  Strongly disagree 5.4 2.0, 11.3
  Do not know 1.0 0.0, 5.1
D Corporation Finance Strongly agree 62.5 53.0, 72.0
  Somewhat agree 25.0 15.5, 36.6
  Neither agree nor disagree 6.9 2.3, 15.5
  Somewhat disagree 2.8 0.3, 9.7
  Strongly disagree 2.8 0.3, 9.7
  Do not know 0.0 0.0, 4.1
E Division of Economic and Risk Analysis Strongly agree . Data Not Reported
  Somewhat agree 16.7 6.4, 32.8
  Neither agree nor disagree 2.8 0.1, 14.5
  Somewhat disagree 5.6 0.7, 18.7
  Strongly disagree 5.6 0.7, 18.7
  Do not know 2.8 0.1, 14.5
F Enforcement Strongly agree 61.4 54.6, 68.1
  Somewhat agree 18.7 12.9, 25.8
  Neither agree nor disagree 4.1 1.5, 8.5
  Somewhat disagree 10.1 5.8, 16.0
  Strongly disagree 4.6 1.9, 9.2
  Do not know 1.2 0.1, 4.5
G Investment Management Strongly agree 52.3 42.0, 62.5
  Somewhat agree 34.1 20.5, 49.9
  Neither agree nor disagree 4.5 0.6, 15.5
  Somewhat disagree 4.5 0.6, 15.5
  Strongly disagree 2.3 0.1, 12.0
  Do not know 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 . 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 63.2 55.3, 71.1
  Somewhat agree 18.2 12.2, 25.6
  Neither agree nor disagree 6.5 2.9, 12.3
  Somewhat disagree 5.5 2.4, 10.7
  Strongly disagree 4.8 1.9, 9.9
  Do not know 1.7 0.3, 5.6
J Information Technology Strongly agree . Data Not Reported
  Somewhat agree 31.8 18.6, 47.6
  Neither agree nor disagree 9.1 2.5, 21.7
  Somewhat disagree 6.8 1.4, 18.7
  Strongly disagree 13.6 5.2, 27.4
  Do not know 0.0 0.0, 6.6
K Trading and Markets Strongly agree 66.7 51.6, 79.6
  Somewhat agree 20.8 10.5, 35.0
  Neither agree nor disagree 2.1 0.1, 11.1
  Somewhat disagree 4.2 0.5, 14.3
  Strongly disagree 6.3 1.3, 17.2
  Do not know 0.0 0.0, 6.1
L Enforcement Regional Offices Strongly agree 68.2 59.4, 77.0
  Somewhat agree 15.9 9.0, 25.2
  Neither agree nor disagree 5.7 1.9, 12.8
  Somewhat disagree 5.7 1.9, 12.8
  Strongly disagree 4.5 1.3, 11.2
  Do not know 0.0 0.0, 3.3
M Enforcement Headquarters Strongly agree 50.8 40.4, 61.2
  Somewhat agree 23.1 13.5, 35.2
  Neither agree nor disagree 1.5 0.0, 8.3
  Somewhat disagree 16.9 8.8, 28.3
  Strongly disagree 4.6 1.0, 12.9
  Do not know 3.1 0.4, 10.7
N Compliance Inspections and Examinations Regional Offices Strongly agree 63.2 53.3, 73.0
  Somewhat agree 18.4 10.5, 29.0
  Neither agree nor disagree 7.9 3.0, 16.4
  Somewhat disagree 5.3 1.5, 12.9
  Strongly disagree 3.9 0.8, 11.1
  Do not know 1.3 0.0, 7.1
O Compliance Inspections and Examinations Headquarters Strongly agree 63.5 54.5, 72.5
  Somewhat agree 17.5 9.1, 29.1
  Neither agree nor disagree 1.6 0.0, 8.5
  Somewhat disagree 6.3 1.8, 15.5
  Strongly disagree 7.9 2.6, 17.6
  Do not know 3.2 0.4, 11.0

22c. Does a good job in sharing information.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 55.6 51.8, 59.4
  Somewhat agree 23.4 20.1, 26.6
  Neither agree nor disagree 5.7 3.9, 7.9
  Somewhat disagree 10.2 7.9, 13.1
  Strongly disagree 4.0 2.6, 6.0
  Do not know 1.1 0.4, 2.3
B Entry or Mid-Level Non-Supervisors Strongly agree 55.5 51.2, 59.8
  Somewhat agree 22.8 19.2, 26.4
  Neither agree nor disagree 4.9 3.1, 7.4
  Somewhat disagree 11.4 8.6, 14.7
  Strongly disagree 4.3 2.6, 6.6
  Do not know 1.1 0.4, 2.6
C Supervisors Strongly agree 56.1 47.5, 64.7
  Somewhat agree 25.6 17.8, 34.6
  Neither agree nor disagree 8.4 3.9, 15.4
  Somewhat disagree 5.8 2.3, 11.9
  Strongly disagree 3.2 0.8, 8.4
  Do not know 0.9 0.0, 4.8
D Corporation Finance Strongly agree 59.7 50.1, 69.3
  Somewhat agree 23.6 14.4, 35.1
  Neither agree nor disagree 2.8 0.3, 9.7
  Somewhat disagree 4.2 0.9, 11.7
  Strongly disagree 6.9 2.3, 15.5
  Do not know 2.8 0.3, 9.7
E Division of Economic and Risk Analysis Strongly agree . Data Not Reported
  Somewhat agree 10.8 3.0, 25.4
  Neither agree nor disagree 5.4 0.7, 18.2
  Somewhat disagree 10.8 3.0, 25.4
  Strongly disagree 2.7 0.1, 14.2
  Do not know 2.7 0.1, 14.2
F Enforcement Strongly agree 56.2 49.3, 63.1
  Somewhat agree 23.7 17.2, 31.2
  Neither agree nor disagree 3.9 1.4, 8.3
  Somewhat disagree 13.1 8.2, 19.5
  Strongly disagree 3.1 1.0, 7.2
  Do not know 0.0 0.0, 1.9
G Investment Management Strongly agree . Data Not Reported
  Somewhat agree 13.6 5.2, 27.4
  Neither agree nor disagree 4.5 0.6, 15.5
  Somewhat disagree 15.9 6.6, 30.1
  Strongly disagree 2.3 0.1, 12.0
  Do not know 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 8.7 1.1, 28.0
  Do not know 0.0 0.0, 12.2
I Compliance Inspections and Examinations Strongly agree 54.0 45.8, 62.2
  Somewhat agree 24.0 17.2, 32.0
  Neither agree nor disagree 7.5 3.8, 13.3
  Somewhat disagree 9.9 5.3, 16.4
  Strongly disagree 2.8 0.8, 7.1
  Do not know 1.7 0.3, 5.6
J Information Technology Strongly agree 43.2 32.9, 53.5
  Somewhat agree 22.7 11.5, 37.8
  Neither agree nor disagree 13.6 5.2, 27.4
  Somewhat disagree 6.8 1.4, 18.7
  Strongly disagree 13.6 5.2, 27.4
  Do not know 0.0 0.0, 6.6
K Trading and Markets Strongly agree 54.2 43.6, 64.7
  Somewhat agree 31.3 18.7, 46.3
  Neither agree nor disagree 4.2 0.5, 14.3
  Somewhat disagree 8.3 2.3, 20.0
  Strongly disagree 2.1 0.1, 11.1
  Do not know 0.0 0.0, 6.1
L Enforcement Regional Offices Strongly agree 63.6 54.6, 72.7
  Somewhat agree 18.2 10.8, 27.8
  Neither agree nor disagree 3.4 0.7, 9.6
  Somewhat disagree 13.6 7.2, 22.6
  Strongly disagree 1.1 0.0, 6.2
  Do not know 0.0 0.0, 3.3
M Enforcement Headquarters Strongly agree 44.6 34.3, 54.9
  Somewhat agree 32.3 21.2, 45.1
  Neither agree nor disagree 4.6 1.0, 12.9
  Somewhat disagree 12.3 5.5, 22.8
  Strongly disagree 6.2 1.7, 15.0
  Do not know 0.0 0.0, 4.5
N Compliance Inspections and Examinations Regional Offices Strongly agree 52.6 42.4, 62.8
  Somewhat agree 25.0 15.8, 36.3
  Neither agree nor disagree 7.9 3.0, 16.4
  Somewhat disagree 11.8 5.6, 21.3
  Strongly disagree 1.3 0.0, 7.1
  Do not know 1.3 0.0, 7.1
O Compliance Inspections and Examinations Headquarters Strongly agree 58.7 49.5, 67.9
  Somewhat agree 20.6 11.5, 32.7
  Neither agree nor disagree 6.3 1.8, 15.5
  Somewhat disagree 3.2 0.4, 11.0
  Strongly disagree 7.9 2.6, 17.6
  Do not know 3.2 0.4, 11.0

22d. Clearly defines goals and expectations.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 48.1 44.3, 51.9
  Somewhat agree 26.3 22.9, 29.8
  Neither agree nor disagree 9.9 7.5, 12.6
  Somewhat disagree 10.1 7.7, 12.9
  Strongly disagree 4.9 3.3, 7.1
  Do not know 0.6 0.2, 1.7
B Entry or Mid-Level Non-Supervisors Strongly agree 48.0 43.8, 52.3
  Somewhat agree 25.5 21.8, 29.3
  Neither agree nor disagree 9.5 6.9, 12.5
  Somewhat disagree 11.1 8.4, 14.4
  Strongly disagree 5.1 3.2, 7.5
  Do not know 0.8 0.2, 2.1
C Supervisors Strongly agree 48.5 39.9, 57.1
  Somewhat agree 29.5 21.5, 37.5
  Neither agree nor disagree 11.4 6.2, 18.9
  Somewhat disagree 6.1 2.4, 12.2
  Strongly disagree 4.5 1.5, 10.1
  Do not know 0.0 0.0, 2.6
D Corporation Finance Strongly agree 54.2 44.4, 63.9
  Somewhat agree 29.2 19.0, 41.1
  Neither agree nor disagree 5.6 1.5, 13.6
  Somewhat disagree 8.3 3.1, 17.3
  Strongly disagree 2.8 0.3, 9.7
  Do not know 0.0 0.0, 4.1
E Division of Economic and Risk Analysis Strongly agree 51.4 41.3, 61.4
  Somewhat agree 24.3 11.8, 41.2
  Neither agree nor disagree 8.1 1.7, 21.9
  Somewhat disagree 10.8 3.0, 25.4
  Strongly disagree 5.4 0.7, 18.2
  Do not know 0.0 0.0, 7.8
F Enforcement Strongly agree 51.4 44.4, 58.4
  Somewhat agree 24.7 18.6, 30.7
  Neither agree nor disagree 10.3 5.9, 16.2
  Somewhat disagree 8.5 4.6, 14.0
  Strongly disagree 5.3 2.3, 10.1
  Do not know 0.0 0.0, 1.9
G Investment Management Strongly agree 52.3 42.0, 62.5
  Somewhat agree 25.0 13.2, 40.3
  Neither agree nor disagree 6.8 1.4, 18.7
  Somewhat disagree 4.5 0.6, 15.5
  Strongly disagree 6.8 1.4, 18.7
  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 8.7 1.1, 28.0
  Somewhat disagree 8.7 1.1, 28.0
  Strongly disagree 8.7 1.1, 28.0
  Do not know 0.0 0.0, 12.2
I Compliance Inspections and Examinations Strongly agree 43.5 35.4, 51.5
  Somewhat agree 26.7 19.2, 34.1
  Neither agree nor disagree 12.0 7.0, 18.7
  Somewhat disagree 13.1 7.9, 19.8
  Strongly disagree 3.5 1.1, 8.0
  Do not know 1.4 0.2, 5.0
J Information Technology Strongly agree 29.5 16.8, 45.2
  Somewhat agree 36.4 22.4, 52.2
  Neither agree nor disagree 9.1 2.5, 21.7
  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 50.0 39.4, 60.6
  Somewhat agree 22.9 12.0, 37.3
  Neither agree nor disagree 10.4 3.5, 22.7
  Somewhat disagree 10.4 3.5, 22.7
  Strongly disagree 6.3 1.3, 17.2
  Do not know 0.0 0.0, 6.1
L Enforcement Regional Offices Strongly agree 55.7 46.3, 65.0
  Somewhat agree 22.7 14.5, 32.9
  Neither agree nor disagree 8.0 3.3, 15.7
  Somewhat disagree 8.0 3.3, 15.7
  Strongly disagree 5.7 1.9, 12.8
  Do not know 0.0 0.0, 3.3
M Enforcement Headquarters Strongly agree 44.6 34.3, 54.9
  Somewhat agree 27.7 17.3, 40.2
  Neither agree nor disagree 13.8 6.5, 24.7
  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 39.5 29.5, 49.5
  Somewhat agree 30.3 20.2, 41.9
  Neither agree nor disagree 13.2 6.5, 22.9
  Somewhat disagree 13.2 6.5, 22.9
  Strongly disagree 2.6 0.3, 9.2
  Do not know 1.3 0.0, 7.1
O Compliance Inspections and Examinations Headquarters Strongly agree 57.1 47.9, 66.4
  Somewhat agree 14.3 6.7, 25.4
  Neither agree nor disagree 7.9 2.6, 17.6
  Somewhat disagree 12.7 5.6, 23.5
  Strongly disagree 6.3 1.8, 15.5
  Do not know 1.6 0.0, 8.5

22e. Provides useful and constructive feedback.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 46.2 42.4, 50.0
  Somewhat agree 27.4 24.0, 30.9
  Neither agree nor disagree 11.1 8.6, 14.0
  Somewhat disagree 8.9 6.7, 11.6
  Strongly disagree 5.6 3.8, 7.8
  Do not know 0.8 0.2, 2.0
B Entry or Mid-Level Non-Supervisors Strongly agree 46.9 42.7, 51.2
  Somewhat agree 26.7 22.9, 30.5
  Neither agree nor disagree 10.0 7.3, 13.1
  Somewhat disagree 10.3 7.6, 13.5
  Strongly disagree 5.3 3.4, 7.8
  Do not know 0.8 0.2, 2.1
C Supervisors Strongly agree 43.4 34.8, 51.9
  Somewhat agree 30.5 22.3, 38.6
  Neither agree nor disagree 15.4 9.2, 23.4
  Somewhat disagree 3.3 0.9, 8.5
  Strongly disagree 6.6 2.8, 12.9
  Do not know 0.9 0.0, 4.9
D Corporation Finance Strongly agree 49.3 39.5, 59.1
  Somewhat agree 28.2 18.1, 40.1
  Neither agree nor disagree 9.9 4.1, 19.3
  Somewhat disagree 8.5 3.2, 17.5
  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 48.6 38.6, 58.7
  Somewhat agree . Data Not Reported
  Neither agree nor disagree 2.7 0.1, 14.2
  Somewhat disagree 0.0 0.0, 7.8
  Strongly disagree 5.4 0.7, 18.2
  Do not know 0.0 0.0, 7.8
F Enforcement Strongly agree 51.9 44.9, 58.9
  Somewhat agree 20.8 14.7, 28.2
  Neither agree nor disagree 10.9 6.5, 17.0
  Somewhat disagree 11.5 6.9, 17.7
  Strongly disagree 4.8 2.0, 9.5
  Do not know 0.0 0.0, 2.0
G Investment Management Strongly agree 53.5 43.1, 63.8
  Somewhat agree 27.9 15.3, 43.7
  Neither agree nor disagree 7.0 1.5, 19.1
  Somewhat disagree 4.7 0.6, 15.8
  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 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 37.6 29.8, 45.4
  Somewhat agree 33.6 25.8, 41.4
  Neither agree nor disagree 12.3 7.2, 19.2
  Somewhat disagree 8.3 4.3, 14.1
  Strongly disagree 6.5 3.0, 12.0
  Do not know 1.7 0.3, 5.6
J Information Technology Strongly agree . Data Not Reported
  Somewhat agree 25.0 13.2, 40.3
  Neither agree nor disagree 15.9 6.6, 30.1
  Somewhat disagree 6.8 1.4, 18.7
  Strongly disagree 13.6 5.2, 27.4
  Do not know 0.0 0.0, 6.6
K Trading and Markets Strongly agree 52.1 41.5, 62.7
  Somewhat agree 27.1 15.3, 41.8
  Neither agree nor disagree 12.5 4.7, 25.2
  Somewhat disagree 4.2 0.5, 14.3
  Strongly disagree 4.2 0.5, 14.3
  Do not know 0.0 0.0, 6.1
L Enforcement Regional Offices Strongly agree 58.6 49.3, 67.9
  Somewhat agree 18.4 10.9, 28.1
  Neither agree nor disagree 8.0 3.3, 15.9
  Somewhat disagree 8.0 3.3, 15.9
  Strongly disagree 6.9 2.6, 14.4
  Do not know 0.0 0.0, 3.4
M Enforcement Headquarters Strongly agree 41.5 31.3, 51.8
  Somewhat agree 24.6 14.8, 36.9
  Neither agree nor disagree 15.4 7.6, 26.5
  Somewhat disagree 16.9 8.8, 28.3
  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 34.2 24.5, 43.9
  Somewhat agree 35.5 25.7, 45.3
  Neither agree nor disagree 14.5 7.5, 24.4
  Somewhat disagree 7.9 3.0, 16.4
  Strongly disagree 6.6 2.2, 14.7
  Do not know 1.3 0.0, 7.1
O Compliance Inspections and Examinations Headquarters Strongly agree 49.2 39.9, 58.5
  Somewhat agree 27.0 16.6, 39.7
  Neither agree nor disagree 4.8 1.0, 13.3
  Somewhat disagree 9.5 3.6, 19.6
  Strongly disagree 6.3 1.8, 15.5
  Do not know 3.2 0.4, 11.0

22f. Will listen to me if we have differing ideas or approaches.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 60.7 56.9, 64.4
  Somewhat agree 22.2 19.0, 25.3
  Neither agree nor disagree 5.2 3.5, 7.4
  Somewhat disagree 7.0 5.0, 9.4
  Strongly disagree 3.7 2.3, 5.6
  Do not know 1.3 0.6, 2.7
B Entry or Mid-Level Non-Supervisors Strongly agree 61.0 56.8, 65.1
  Somewhat agree 20.8 17.4, 24.2
  Neither agree nor disagree 5.7 3.7, 8.2
  Somewhat disagree 6.7 4.6, 9.5
  Strongly disagree 4.5 2.7, 6.8
  Do not know 1.4 0.5, 3.0
C Supervisors Strongly agree 59.5 51.0, 68.1
  Somewhat agree 27.5 19.8, 35.1
  Neither agree nor disagree 3.6 0.8, 9.6
  Somewhat disagree 7.9 3.6, 14.6
  Strongly disagree 0.5 0.0, 4.8
  Do not know 1.0 0.0, 5.1
D Corporation Finance Strongly agree 62.5 53.0, 72.0
  Somewhat agree 25.0 15.5, 36.6
  Neither agree nor disagree 5.6 1.5, 13.6
  Somewhat disagree 1.4 0.0, 7.5
  Strongly disagree 4.2 0.9, 11.7
  Do not know 1.4 0.0, 7.5
E Division of Economic and Risk Analysis Strongly agree 80.6 64.0, 91.8
  Somewhat agree 11.1 3.1, 26.1
  Neither agree nor disagree 2.8 0.1, 14.5
  Somewhat disagree 2.8 0.1, 14.5
  Strongly disagree 2.8 0.1, 14.5
  Do not know 0.0 0.0, 8.0
F Enforcement Strongly agree 60.9 54.2, 67.6
  Somewhat agree 20.1 14.1, 27.3
  Neither agree nor disagree 4.4 1.7, 9.0
  Somewhat disagree 10.2 5.9, 16.1
  Strongly disagree 3.9 1.4, 8.3
  Do not know 0.6 0.0, 3.6
G Investment Management Strongly agree 68.2 52.4, 81.4
  Somewhat agree 15.9 6.6, 30.1
  Neither agree nor disagree 6.8 1.4, 18.7
  Somewhat disagree 6.8 1.4, 18.7
  Strongly disagree 0.0 0.0, 6.6
  Do not know 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 0.0 0.0, 12.2
  Strongly disagree 8.7 1.1, 28.0
  Do not know 0.0 0.0, 12.2
I Compliance Inspections and Examinations Strongly agree 60.1 52.1, 68.1
  Somewhat agree 21.7 15.1, 29.5
  Neither agree nor disagree 5.9 2.6, 11.2
  Somewhat disagree 7.2 3.5, 12.9
  Strongly disagree 2.4 0.5, 6.6
  Do not know 2.8 0.7, 7.0
J Information Technology Strongly agree . Data Not Reported
  Somewhat agree 36.4 22.4, 52.2
  Neither agree nor disagree 6.8 1.4, 18.7
  Somewhat disagree 9.1 2.5, 21.7
  Strongly disagree 9.1 2.5, 21.7
  Do not know 0.0 0.0, 6.6
K Trading and Markets Strongly agree 70.2 55.1, 82.7
  Somewhat agree 21.3 10.7, 35.7
  Neither agree nor disagree 2.1 0.1, 11.3
  Somewhat disagree 2.1 0.1, 11.3
  Strongly disagree 4.3 0.5, 14.5
  Do not know 0.0 0.0, 6.2
L Enforcement Regional Offices Strongly agree 69.3 60.6, 78.0
  Somewhat agree 18.2 10.8, 27.8
  Neither agree nor disagree 2.3 0.3, 8.0
  Somewhat disagree 6.8 2.5, 14.3
  Strongly disagree 3.4 0.7, 9.6
  Do not know 0.0 0.0, 3.3
M Enforcement Headquarters Strongly agree 47.7 37.3, 58.1
  Somewhat agree 23.1 13.5, 35.2
  Neither agree nor disagree 7.7 2.5, 17.0
  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 60.5 50.5, 70.5
  Somewhat agree 21.1 12.5, 31.9
  Neither agree nor disagree 5.3 1.5, 12.9
  Somewhat disagree 7.9 3.0, 16.4
  Strongly disagree 2.6 0.3, 9.2
  Do not know 2.6 0.3, 9.2
O Compliance Inspections and Examinations Headquarters Strongly agree 58.7 49.5, 67.9
  Somewhat agree 23.8 14.0, 36.2
  Neither agree nor disagree 7.9 2.6, 17.6
  Somewhat disagree 4.8 1.0, 13.3
  Strongly disagree 1.6 0.0, 8.5
  Do not know 3.2 0.4, 11.0

22g. Is receptive to feedback.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 54.9 51.1, 58.7
  Somewhat agree 18.6 15.6, 21.6
  Neither agree nor disagree 10.2 7.8, 13.0
  Somewhat disagree 7.1 5.1, 9.6
  Strongly disagree 4.9 3.2, 7.0
  Do not know 4.3 2.8, 6.4
B Entry or Mid-Level Non-Supervisors Strongly agree 56.5 52.2, 60.7
  Somewhat agree 17.5 14.3, 20.8
  Neither agree nor disagree 9.3 6.7, 12.3
  Somewhat disagree 6.7 4.6, 9.4
  Strongly disagree 5.3 3.4, 7.8
  Do not know 4.8 3.0, 7.2
C Supervisors Strongly agree 48.8 40.2, 57.4
  Somewhat agree 22.8 15.4, 31.6
  Neither agree nor disagree 13.8 7.9, 21.8
  Somewhat disagree 8.7 4.1, 15.7
  Strongly disagree 3.2 0.8, 8.3
  Do not know 2.8 0.6, 7.7
D Corporation Finance Strongly agree 59.2 49.5, 68.8
  Somewhat agree 16.9 9.0, 27.7
  Neither agree nor disagree 8.5 3.2, 17.5
  Somewhat disagree 4.2 0.9, 11.9
  Strongly disagree 4.2 0.9, 11.9
  Do not know 7.0 2.3, 15.7
E Division of Economic and Risk Analysis Strongly agree . Data Not Reported
  Somewhat agree 18.9 8.0, 35.2
  Neither agree nor disagree 10.8 3.0, 25.4
  Somewhat disagree 0.0 0.0, 7.8
  Strongly disagree 2.7 0.1, 14.2
  Do not know 8.1 1.7, 21.9
F Enforcement Strongly agree 57.5 50.7, 64.4
  Somewhat agree 14.2 9.1, 20.9
  Neither agree nor disagree 9.3 5.2, 15.2
  Somewhat disagree 9.1 5.1, 14.9
  Strongly disagree 6.4 3.1, 11.6
  Do not know 3.3 1.1, 7.6
G Investment Management Strongly agree . Data Not Reported
  Somewhat agree 20.5 9.8, 35.3
  Neither agree nor disagree 9.1 2.5, 21.7
  Somewhat disagree 4.5 0.6, 15.5
  Strongly disagree 2.3 0.1, 12.0
  Do not know 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 8.7 1.1, 28.0
  Do not know 0.0 0.0, 12.2
I Compliance Inspections and Examinations Strongly agree 51.0 42.8, 59.1
  Somewhat agree 21.9 15.3, 29.8
  Neither agree nor disagree 9.9 5.5, 16.2
  Somewhat disagree 8.6 4.5, 14.6
  Strongly disagree 3.1 0.9, 7.5
  Do not know 5.5 2.4, 10.7
J Information Technology Strongly agree . Data Not Reported
  Somewhat agree 22.7 11.5, 37.8
  Neither agree nor disagree 15.9 6.6, 30.1
  Somewhat disagree 9.1 2.5, 21.7
  Strongly disagree 9.1 2.5, 21.7
  Do not know 2.3 0.1, 12.0
K Trading and Markets Strongly agree 60.4 45.3, 74.2
  Somewhat agree 20.8 10.5, 35.0
  Neither agree nor disagree 12.5 4.7, 25.2
  Somewhat disagree 0.0 0.0, 6.1
  Strongly disagree 4.2 0.5, 14.3
  Do not know 2.1 0.1, 11.1
L Enforcement Regional Offices Strongly agree 67.4 58.5, 76.4
  Somewhat agree 9.3 4.1, 17.5
  Neither agree nor disagree 9.3 4.1, 17.5
  Somewhat disagree 7.0 2.6, 14.6
  Strongly disagree 3.5 0.7, 9.9
  Do not know 3.5 0.7, 9.9
M Enforcement Headquarters Strongly agree 42.2 31.8, 52.5
  Somewhat agree 21.9 12.5, 34.0
  Neither agree nor disagree 9.4 3.5, 19.3
  Somewhat disagree 12.5 5.6, 23.2
  Strongly disagree 10.9 4.5, 21.2
  Do not know 3.1 0.4, 10.8
N Compliance Inspections and Examinations Regional Offices Strongly agree 48.7 38.5, 58.9
  Somewhat agree 23.7 14.7, 34.8
  Neither agree nor disagree 10.5 4.7, 19.7
  Somewhat disagree 9.2 3.8, 18.1
  Strongly disagree 2.6 0.3, 9.2
  Do not know 5.3 1.5, 12.9
O Compliance Inspections and Examinations Headquarters Strongly agree 58.7 49.5, 67.9
  Somewhat agree 15.9 7.9, 27.3
  Neither agree nor disagree 7.9 2.6, 17.6
  Somewhat disagree 6.3 1.8, 15.5
  Strongly disagree 4.8 1.0, 13.3
  Do not know 6.3 1.8, 15.5

22h. Is willing to change his or her position when there is compelling information.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 54.7 50.9, 58.5
  Somewhat agree 25.9 22.5, 29.3
  Neither agree nor disagree 7.1 5.1, 9.5
  Somewhat disagree 6.0 4.2, 8.3
  Strongly disagree 3.6 2.2, 5.5
  Do not know 2.7 1.5, 4.4
B Entry or Mid-Level Non-Supervisors Strongly agree 56.8 52.6, 61.1
  Somewhat agree 22.8 19.2, 26.4
  Neither agree nor disagree 7.8 5.5, 10.7
  Somewhat disagree 6.2 4.2, 8.9
  Strongly disagree 3.6 2.1, 5.8
  Do not know 2.8 1.4, 4.8
C Supervisors Strongly agree 46.2 37.7, 54.8
  Somewhat agree 38.1 29.6, 46.7
  Neither agree nor disagree 4.1 1.3, 9.7
  Somewhat disagree 5.3 1.9, 11.5
  Strongly disagree 3.6 1.0, 9.0
  Do not know 2.6 0.5, 7.4
D Corporation Finance Strongly agree 59.7 50.1, 69.3
  Somewhat agree 20.8 12.2, 32.0
  Neither agree nor disagree 12.5 5.9, 22.4
  Somewhat disagree 1.4 0.0, 7.5
  Strongly disagree 4.2 0.9, 11.7
  Do not know 1.4 0.0, 7.5
E Division of Economic and Risk Analysis Strongly agree . Data Not Reported
  Somewhat agree 24.3 11.8, 41.2
  Neither agree nor disagree 2.7 0.1, 14.2
  Somewhat disagree 5.4 0.7, 18.2
  Strongly disagree 2.7 0.1, 14.2
  Do not know 2.7 0.1, 14.2
F Enforcement Strongly agree 57.3 50.4, 64.2
  Somewhat agree 22.8 16.4, 30.3
  Neither agree nor disagree 6.3 3.0, 11.5
  Somewhat disagree 9.6 5.4, 15.5
  Strongly disagree 2.0 0.4, 5.7
  Do not know 1.9 0.4, 5.6
G Investment Management Strongly agree 56.8 46.7, 67.0
  Somewhat agree 25.0 13.2, 40.3
  Neither agree nor disagree 9.1 2.5, 21.7
  Somewhat disagree 4.5 0.6, 15.5
  Strongly disagree 2.3 0.1, 12.0
  Do not know 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 8.7 1.1, 28.0
  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 50.6 42.4, 58.8
  Somewhat agree 29.8 22.1, 37.4
  Neither agree nor disagree 5.9 2.6, 11.2
  Somewhat disagree 4.5 1.7, 9.4
  Strongly disagree 4.1 1.5, 8.9
  Do not know 5.1 2.1, 10.2
J Information Technology Strongly agree . Data Not Reported
  Somewhat agree 34.1 20.5, 49.9
  Neither agree nor disagree 6.8 1.4, 18.7
  Somewhat disagree 9.1 2.5, 21.7
  Strongly disagree 9.1 2.5, 21.7
  Do not know 0.0 0.0, 6.6
K Trading and Markets Strongly agree 60.4 45.3, 74.2
  Somewhat agree 25.0 13.6, 39.6
  Neither agree nor disagree 6.3 1.3, 17.2
  Somewhat disagree 2.1 0.1, 11.1
  Strongly disagree 4.2 0.5, 14.3
  Do not know 2.1 0.1, 11.1
L Enforcement Regional Offices Strongly agree 65.5 56.5, 74.5
  Somewhat agree 20.7 12.7, 30.7
  Neither agree nor disagree 3.4 0.7, 9.7
  Somewhat disagree 6.9 2.6, 14.4
  Strongly disagree 2.3 0.3, 8.1
  Do not know 1.1 0.0, 6.2
M Enforcement Headquarters Strongly agree 44.6 34.3, 54.9
  Somewhat agree 26.2 16.0, 38.5
  Neither agree nor disagree 10.8 4.4, 20.9
  Somewhat disagree 13.8 6.5, 24.7
  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 48.7 38.5, 58.9
  Somewhat agree 32.9 23.3, 42.5
  Neither agree nor disagree 5.3 1.5, 12.9
  Somewhat disagree 3.9 0.8, 11.1
  Strongly disagree 3.9 0.8, 11.1
  Do not know 5.3 1.5, 12.9
O Compliance Inspections and Examinations Headquarters Strongly agree 57.1 47.9, 66.4
  Somewhat agree 19.0 10.2, 30.9
  Neither agree nor disagree 7.9 2.6, 17.6
  Somewhat disagree 6.3 1.8, 15.5
  Strongly disagree 4.8 1.0, 13.3
  Do not know 4.8 1.0, 13.3

22i. Gives me the flexibility I need to do my job effectively.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 68.9 65.3, 72.4
  Somewhat agree 19.7 16.7, 22.8
  Neither agree nor disagree 5.6 3.8, 7.8
  Somewhat disagree 3.3 2.0, 5.2
  Strongly disagree 2.0 1.0, 3.5
  Do not know 0.5 0.1, 1.5
B Entry or Mid-Level Non-Supervisors Strongly agree 69.2 65.3, 73.1
  Somewhat agree 18.4 15.1, 21.8
  Neither agree nor disagree 5.7 3.8, 8.3
  Somewhat disagree 3.6 2.1, 5.8
  Strongly disagree 2.3 1.1, 4.2
  Do not know 0.7 0.1, 1.9
C Supervisors Strongly agree 67.6 59.4, 75.8
  Somewhat agree 24.8 17.2, 33.8
  Neither agree nor disagree 5.0 1.8, 10.8
  Somewhat disagree 2.1 0.3, 7.0
  Strongly disagree 0.6 0.0, 4.8
  Do not know 0.0 0.0, 2.6
D Corporation Finance Strongly agree 74.6 62.9, 84.2
  Somewhat agree 16.9 9.0, 27.7
  Neither agree nor disagree 4.2 0.9, 11.9
  Somewhat disagree 2.8 0.3, 9.8
  Strongly disagree 1.4 0.0, 7.6
  Do not know 0.0 0.0, 4.1
E Division of Economic and Risk Analysis Strongly agree 75.7 58.8, 88.2
  Somewhat agree 8.1 1.7, 21.9
  Neither agree nor disagree 5.4 0.7, 18.2
  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 67.9 61.4, 74.3
  Somewhat agree 18.7 12.9, 25.8
  Neither agree nor disagree 7.1 3.6, 12.3
  Somewhat disagree 4.3 1.7, 8.8
  Strongly disagree 2.1 0.5, 5.8
  Do not know 0.0 0.0, 1.9
G Investment Management Strongly agree 72.7 57.2, 85.0
  Somewhat agree 18.2 8.2, 32.7
  Neither agree nor disagree 2.3 0.1, 12.0
  Somewhat disagree 4.5 0.6, 15.5
  Strongly disagree 0.0 0.0, 6.6
  Do not know 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 0.0 0.0, 12.2
  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 69.1 61.5, 76.8
  Somewhat agree 21.5 14.9, 29.3
  Neither agree nor disagree 5.6 2.4, 10.8
  Somewhat disagree 2.1 0.3, 6.5
  Strongly disagree 0.4 0.0, 4.0
  Do not know 1.4 0.2, 5.0
J Information Technology Strongly agree 52.3 41.9, 62.6
  Somewhat agree 25.0 13.2, 40.3
  Neither agree nor disagree 9.1 2.5, 21.7
  Somewhat disagree 4.5 0.6, 15.5
  Strongly disagree 9.1 2.5, 21.7
  Do not know 0.0 0.0, 6.6
K Trading and Markets Strongly agree 75.0 60.4, 86.4
  Somewhat agree 18.8 8.9, 32.6
  Neither agree nor disagree 2.1 0.1, 11.1
  Somewhat disagree 0.0 0.0, 6.1
  Strongly disagree 4.2 0.5, 14.3
  Do not know 0.0 0.0, 6.1
L Enforcement Regional Offices Strongly agree 73.9 63.4, 82.7
  Somewhat agree 15.9 9.0, 25.2
  Neither agree nor disagree 5.7 1.9, 12.8
  Somewhat disagree 1.1 0.0, 6.2
  Strongly disagree 3.4 0.7, 9.6
  Do not know 0.0 0.0, 3.3
M Enforcement Headquarters Strongly agree 58.5 48.2, 68.7
  Somewhat agree 23.1 13.5, 35.2
  Neither agree nor disagree 9.2 3.5, 19.0
  Somewhat disagree 9.2 3.5, 19.0
  Strongly disagree 0.0 0.0, 4.5
  Do not know 0.0 0.0, 4.5
N Compliance Inspections and Examinations Regional Offices Strongly agree 68.0 58.4, 77.6
  Somewhat agree 22.7 13.8, 33.8
  Neither agree nor disagree 5.3 1.5, 13.1
  Somewhat disagree 2.7 0.3, 9.3
  Strongly disagree 0.0 0.0, 3.9
  Do not know 1.3 0.0, 7.2
O Compliance Inspections and Examinations Headquarters Strongly agree 73.0 60.3, 83.4
  Somewhat agree 17.5 9.1, 29.1
  Neither agree nor disagree 6.3 1.8, 15.5
  Somewhat disagree 0.0 0.0, 4.6
  Strongly disagree 1.6 0.0, 8.5
  Do not know 1.6 0.0, 8.5

22j. Spends too much time closely monitoring my work.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 5.4 3.7, 7.7
  Somewhat agree 8.6 6.4, 11.2
  Neither agree nor disagree 11.9 9.4, 14.4
  Somewhat disagree 20.1 17.1, 23.2
  Strongly disagree 52.8 48.9, 56.6
  Do not know 1.2 0.5, 2.6
B Entry or Mid-Level Non-Supervisors Strongly agree 5.8 3.8, 8.4
  Somewhat agree 8.1 5.8, 11.1
  Neither agree nor disagree 11.2 8.5, 14.5
  Somewhat disagree 19.8 16.4, 23.2
  Strongly disagree 53.5 49.2, 57.8
  Do not know 1.6 0.6, 3.3
C Supervisors Strongly agree 4.1 1.3, 9.6
  Somewhat agree 10.2 5.1, 17.7
  Neither agree nor disagree 14.4 8.5, 22.3
  Somewhat disagree 21.3 14.2, 30.0
  Strongly disagree 49.9 41.3, 58.6
  Do not know 0.0 0.0, 2.6
D Corporation Finance Strongly agree 2.8 0.3, 9.7
  Somewhat agree 2.8 0.3, 9.7
  Neither agree nor disagree 13.9 6.9, 24.1
  Somewhat disagree 19.4 11.1, 30.5
  Strongly disagree 59.7 50.1, 69.3
  Do not know 1.4 0.0, 7.5
E Division of Economic and Risk Analysis Strongly agree 5.4 0.7, 18.2
  Somewhat agree 2.7 0.1, 14.2
  Neither agree nor disagree 10.8 3.0, 25.4
  Somewhat disagree 13.5 4.5, 28.8
  Strongly disagree . Data Not Reported
  Do not know 0.0 0.0, 7.8
F Enforcement Strongly agree 5.9 2.7, 10.9
  Somewhat agree 12.8 8.0, 19.2
  Neither agree nor disagree 11.5 7.0, 17.7
  Somewhat disagree 19.1 13.2, 26.2
  Strongly disagree 50.0 43.0, 57.0
  Do not know 0.7 0.0, 3.7
G Investment Management Strongly agree 6.8 1.4, 18.7
  Somewhat agree 2.3 0.1, 12.0
  Neither agree nor disagree 6.8 1.4, 18.7
  Somewhat disagree 18.2 8.2, 32.7
  Strongly disagree 63.6 47.8, 77.6
  Do not know 2.3 0.1, 12.0
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 . Data Not Reported
  Do not know 0.0 0.0, 12.2
I Compliance Inspections and Examinations Strongly agree 4.8 1.9, 9.9
  Somewhat agree 8.1 4.0, 14.5
  Neither agree nor disagree 12.0 7.1, 18.6
  Somewhat disagree 20.0 13.7, 27.6
  Strongly disagree 52.6 44.5, 60.8
  Do not know 2.4 0.5, 6.6
J Information Technology Strongly agree 9.1 2.5, 21.7
  Somewhat agree 11.4 3.8, 24.6
  Neither agree nor disagree 15.9 6.6, 30.1
  Somewhat disagree 27.3 15.0, 42.8
  Strongly disagree 36.4 22.4, 52.2
  Do not know 0.0 0.0, 6.6
K Trading and Markets Strongly agree 6.3 1.3, 17.2
  Somewhat agree 2.1 0.1, 11.1
  Neither agree nor disagree 8.3 2.3, 20.0
  Somewhat disagree 22.9 12.0, 37.3
  Strongly disagree 60.4 45.3, 74.2
  Do not know 0.0 0.0, 6.1
L Enforcement Regional Offices Strongly agree 5.7 1.9, 12.8
  Somewhat agree 10.2 4.8, 18.5
  Neither agree nor disagree 9.1 4.0, 17.1
  Somewhat disagree 20.5 12.6, 30.4
  Strongly disagree 53.4 44.0, 62.8
  Do not know 1.1 0.0, 6.2
M Enforcement Headquarters Strongly agree 6.2 1.7, 15.0
  Somewhat agree 16.9 8.8, 28.3
  Neither agree nor disagree 15.4 7.6, 26.5
  Somewhat disagree 16.9 8.8, 28.3
  Strongly disagree 44.6 34.3, 54.9
  Do not know 0.0 0.0, 4.5
N Compliance Inspections and Examinations Regional Offices Strongly agree 5.3 1.5, 12.9
  Somewhat agree 10.5 4.7, 19.7
  Neither agree nor disagree 11.8 5.6, 21.3
  Somewhat disagree 18.4 10.5, 29.0
  Strongly disagree 51.3 41.1, 61.5
  Do not know 2.6 0.3, 9.2
O Compliance Inspections and Examinations Headquarters Strongly agree 3.2 0.4, 11.0
  Somewhat agree 0.0 0.0, 4.6
  Neither agree nor disagree 12.7 5.6, 23.5
  Somewhat disagree 25.4 15.3, 37.9
  Strongly disagree 57.1 47.9, 66.4
  Do not know 1.6 0.0, 8.5

23. If there are any other issues, details, or information concerning leadership and management at the SEC that you would like us to know about, please use the space below to provide this information.

data intentionally not reported


Section 4 - Performance Management and Promotions

Notes on terms used in Section 4:

(1) 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 and managers" refers to those persons above you in the chain of command who are Assistant Directors or Associate Directors.

(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.

24. To what extent do you agree or disagree with the following statements regarding how SEC management recognizes and rewards performance in your division/office? (Select one response per item.)

24a. Overall, Senior Officers deal effectively with poor performing supervisors and managers.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 5.0 3.4, 7.2
  Somewhat agree 10.4 8.0, 13.2
  Neither agree nor disagree 11.5 9.1, 14.0
  Somewhat disagree 17.5 14.6, 20.5
  Strongly disagree 23.1 19.9, 26.3
  Do not know 32.5 28.8, 36.1
B Entry or Mid-Level Non-Supervisors Strongly agree 3.8 2.2, 6.0
  Somewhat agree 7.5 5.2, 10.3
  Neither agree nor disagree 10.7 8.0, 14.0
  Somewhat disagree 16.0 12.8, 19.1
  Strongly disagree 25.0 21.3, 28.6
  Do not know 37.1 32.9, 41.3
C Supervisors Strongly agree 9.9 5.1, 17.0
  Somewhat agree 21.8 14.6, 30.6
  Neither agree nor disagree 14.6 8.7, 22.5
  Somewhat disagree 23.6 16.1, 32.5
  Strongly disagree 15.9 9.7, 23.9
  Do not know 14.1 8.3, 21.9
D Corporation Finance Strongly agree 5.6 1.5, 13.6
  Somewhat agree 12.5 5.9, 22.4
  Neither agree nor disagree 9.7 4.0, 19.0
  Somewhat disagree 12.5 5.9, 22.4
  Strongly disagree 18.1 10.0, 28.9
  Do not know 41.7 32.0, 51.3
E Division of Economic and Risk Analysis Strongly agree 2.8 0.1, 14.5
  Somewhat agree 11.1 3.1, 26.1
  Neither agree nor disagree 19.4 8.2, 36.0
  Somewhat disagree 13.9 4.7, 29.5
  Strongly disagree . Data Not Reported
  Do not know . Data Not Reported
F Enforcement Strongly agree 4.5 1.8, 9.1
  Somewhat agree 9.2 5.2, 15.0
  Neither agree nor disagree 7.0 3.5, 12.2
  Somewhat disagree 17.7 12.0, 24.7
  Strongly disagree 28.9 22.5, 35.3
  Do not know 32.7 26.1, 39.3
G Investment Management Strongly agree 6.8 1.4, 18.7
  Somewhat agree 11.4 3.8, 24.6
  Neither agree nor disagree 13.6 5.2, 27.4
  Somewhat disagree 13.6 5.2, 27.4
  Strongly disagree 18.2 8.2, 32.7
  Do not know 36.4 22.4, 52.2
H Office of the Chief Accountant and Office of Credit Ratings Strongly agree 8.7 1.1, 28.0
  Somewhat agree 8.7 1.1, 28.0
  Neither agree nor disagree . Data Not Reported
  Somewhat disagree . Data Not Reported
  Strongly disagree . Data Not Reported
  Do not know . Data Not Reported
I Compliance Inspections and Examinations Strongly agree 6.1 2.8, 11.4
  Somewhat agree 10.2 5.7, 16.4
  Neither agree nor disagree 15.4 9.9, 22.5
  Somewhat disagree 19.5 13.3, 27.1
  Strongly disagree 18.0 12.0, 25.3
  Do not know 30.8 23.2, 38.5
J Information Technology Strongly agree 0.0 0.0, 6.6
  Somewhat agree 13.6 5.2, 27.4
  Neither agree nor disagree 15.9 6.6, 30.1
  Somewhat disagree 11.4 3.8, 24.6
  Strongly disagree . Data Not Reported
  Do not know 18.2 8.2, 32.7
K Trading and Markets Strongly agree 4.2 0.5, 14.3
  Somewhat agree 10.4 3.5, 22.7
  Neither agree nor disagree 10.4 3.5, 22.7
  Somewhat disagree 22.9 12.0, 37.3
  Strongly disagree 16.7 7.5, 30.2
  Do not know 35.4 22.2, 50.5
L Enforcement Regional Offices Strongly agree 3.4 0.7, 9.6
  Somewhat agree 10.2 4.8, 18.5
  Neither agree nor disagree 4.5 1.3, 11.2
  Somewhat disagree 18.2 10.8, 27.8
  Strongly disagree 30.7 22.0, 39.4
  Do not know 33.0 24.1, 41.8
M Enforcement Headquarters Strongly agree 6.2 1.7, 15.0
  Somewhat agree 7.7 2.5, 17.0
  Neither agree nor disagree 10.8 4.4, 20.9
  Somewhat disagree 16.9 8.8, 28.3
  Strongly disagree 26.2 16.0, 38.5
  Do not know 32.3 21.2, 45.1
N Compliance Inspections and Examinations Regional Offices Strongly agree 5.1 1.4, 12.6
  Somewhat agree 9.0 3.7, 17.6
  Neither agree nor disagree 16.7 9.2, 26.8
  Somewhat disagree 19.2 11.2, 29.7
  Strongly disagree 15.4 8.2, 25.3
  Do not know 34.6 25.0, 44.2
O Compliance Inspections and Examinations Headquarters Strongly agree 9.5 3.6, 19.6
  Somewhat agree 14.3 6.7, 25.4
  Neither agree nor disagree 11.1 4.6, 21.6
  Somewhat disagree 20.6 11.5, 32.7
  Strongly disagree 27.0 16.6, 39.7
  Do not know 17.5 9.1, 29.1

24b. Overall, supervisors and managers deal effectively with poor performing staff.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 4.0 2.5, 5.9
  Somewhat agree 14.0 11.4, 16.6
  Neither agree nor disagree 11.1 8.6, 14.0
  Somewhat disagree 23.9 20.5, 27.3
  Strongly disagree 19.3 16.2, 22.3
  Do not know 27.8 24.3, 31.3
B Entry or Mid-Level Non-Supervisors Strongly agree 3.1 1.7, 5.2
  Somewhat agree 10.2 7.5, 13.4
  Neither agree nor disagree 11.3 8.5, 14.6
  Somewhat disagree 21.5 17.9, 25.1
  Strongly disagree 19.6 16.2, 23.1
  Do not know 34.3 30.2, 38.4
C Supervisors Strongly agree 7.3 3.2, 13.7
  Somewhat agree 28.7 21.0, 36.4
  Neither agree nor disagree 10.3 5.4, 17.4
  Somewhat disagree 33.2 24.7, 41.6
  Strongly disagree 18.0 11.4, 26.3
  Do not know 2.6 0.5, 7.5
D Corporation Finance Strongly agree 9.9 4.1, 19.3
  Somewhat agree 23.9 14.6, 35.5
  Neither agree nor disagree 11.3 5.0, 21.0
  Somewhat disagree 11.3 5.0, 21.0
  Strongly disagree 8.5 3.2, 17.5
  Do not know 35.2 25.8, 44.6
E Division of Economic and Risk Analysis Strongly agree 2.8 0.1, 14.5
  Somewhat agree 11.1 3.1, 26.1
  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 . Data Not Reported
F Enforcement Strongly agree 3.2 1.0, 7.4
  Somewhat agree 10.4 6.1, 16.4
  Neither agree nor disagree 9.4 5.3, 15.1
  Somewhat disagree 25.9 19.7, 32.1
  Strongly disagree 21.8 15.6, 29.2
  Do not know 29.2 22.9, 35.6
G Investment Management Strongly agree 2.3 0.1, 12.3
  Somewhat agree 16.3 6.8, 30.7
  Neither agree nor disagree 9.3 2.6, 22.1
  Somewhat disagree 16.3 6.8, 30.7
  Strongly disagree 16.3 6.8, 30.7
  Do not know . Data Not Reported
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 8.7 1.1, 28.0
  Do not know . Data Not Reported
I Compliance Inspections and Examinations Strongly agree 3.4 1.1, 7.9
  Somewhat agree 12.8 7.8, 19.5
  Neither agree nor disagree 9.8 5.5, 16.0
  Somewhat disagree 28.3 20.9, 35.7
  Strongly disagree 21.0 14.6, 28.7
  Do not know 24.6 17.7, 32.6
J Information Technology Strongly agree 0.0 0.0, 6.6
  Somewhat agree 18.2 8.2, 32.7
  Neither agree nor disagree 18.2 8.2, 32.7
  Somewhat disagree 22.7 11.5, 37.8
  Strongly disagree 31.8 18.6, 47.6
  Do not know 9.1 2.5, 21.7
K Trading and Markets Strongly agree 4.3 0.5, 14.8
  Somewhat agree 13.0 4.9, 26.3
  Neither agree nor disagree 13.0 4.9, 26.3
  Somewhat disagree 26.1 14.3, 41.1
  Strongly disagree 15.2 6.3, 28.9
  Do not know 28.3 16.0, 43.5
L Enforcement Regional Offices Strongly agree 2.3 0.3, 8.0
  Somewhat agree 10.2 4.8, 18.5
  Neither agree nor disagree 4.5 1.3, 11.2
  Somewhat disagree 30.7 22.0, 39.4
  Strongly disagree 25.0 16.4, 35.4
  Do not know 27.3 18.3, 37.8
M Enforcement Headquarters Strongly agree 4.6 1.0, 12.9
  Somewhat agree 10.8 4.4, 20.9
  Neither agree nor disagree 16.9 8.8, 28.3
  Somewhat disagree 18.5 9.9, 30.0
  Strongly disagree 16.9 8.8, 28.3
  Do not know 32.3 21.2, 45.1
N Compliance Inspections and Examinations Regional Offices Strongly agree 2.6 0.3, 9.0
  Somewhat agree 12.8 6.3, 22.3
  Neither agree nor disagree 9.0 3.7, 17.6
  Somewhat disagree 29.5 19.7, 40.9
  Strongly disagree 19.2 11.2, 29.7
  Do not know 26.9 17.5, 38.2
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 12.9 5.7, 23.9
  Somewhat disagree 24.2 14.2, 36.7
  Strongly disagree 27.4 16.9, 40.2
  Do not know 16.1 8.0, 27.7

24c. I know what is expected of me regarding my work performance.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 44.2 40.3, 48.0
  Somewhat agree 39.8 36.0, 43.6
  Neither agree nor disagree 7.2 5.2, 9.7
  Somewhat disagree 4.8 3.2, 6.9
  Strongly disagree 3.6 2.2, 5.5
  Do not know 0.4 0.1, 1.3
B Entry or Mid-Level Non-Supervisors Strongly agree 44.3 40.0, 48.6
  Somewhat agree 38.9 34.8, 43.1
  Neither agree nor disagree 7.4 5.1, 10.2
  Somewhat disagree 5.2 3.3, 7.7
  Strongly disagree 3.7 2.1, 5.9
  Do not know 0.5 0.1, 1.7
C Supervisors Strongly agree 43.6 35.2, 52.1
  Somewhat agree 43.0 34.4, 51.6
  Neither agree nor disagree 6.4 2.7, 12.6
  Somewhat disagree 3.4 0.9, 8.7
  Strongly disagree 3.5 0.8, 9.4
  Do not know 0.0 0.0, 2.6
D Corporation Finance Strongly agree 45.8 36.1, 55.6
  Somewhat agree 47.2 37.5, 57.0
  Neither agree nor disagree 5.6 1.5, 13.6
  Somewhat disagree 1.4 0.0, 7.5
  Strongly disagree 0.0 0.0, 4.1
  Do not know 0.0 0.0, 4.1
E Division of Economic and Risk Analysis Strongly agree 50.0 39.8, 60.2
  Somewhat agree . Data Not Reported
  Neither agree nor disagree 8.3 1.8, 22.5
  Somewhat disagree 2.8 0.1, 14.5
  Strongly disagree 11.1 3.1, 26.1
  Do not know 0.0 0.0, 8.0
F Enforcement Strongly agree 47.9 40.8, 55.0
  Somewhat agree 36.9 30.1, 43.8
  Neither agree nor disagree 5.9 2.7, 11.0
  Somewhat disagree 6.5 3.1, 11.7
  Strongly disagree 2.0 0.4, 5.8
  Do not know 0.7 0.0, 3.7
G Investment Management Strongly agree . Data Not Reported
  Somewhat agree 47.7 37.5, 58.0
  Neither agree nor disagree 6.8 1.4, 18.7
  Somewhat disagree 6.8 1.4, 18.7
  Strongly disagree 0.0 0.0, 6.6
  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 0.0 0.0, 12.2
  Do not know 0.0 0.0, 12.2
I Compliance Inspections and Examinations Strongly agree 41.3 33.3, 49.3
  Somewhat agree 40.3 32.4, 48.3
  Neither agree nor disagree 8.7 4.6, 14.6
  Somewhat disagree 3.3 1.0, 7.9
  Strongly disagree 6.3 2.9, 11.7
  Do not know 0.0 0.0, 2.1
J Information Technology Strongly agree . Data Not Reported
  Somewhat agree . Data Not Reported
  Neither agree nor disagree 7.0 1.5, 19.1
  Somewhat disagree 4.7 0.6, 15.8
  Strongly disagree 7.0 1.5, 19.1
  Do not know 0.0 0.0, 6.7
K Trading and Markets Strongly agree 39.6 25.8, 54.7
  Somewhat agree 41.7 31.2, 52.1
  Neither agree nor disagree 6.3 1.3, 17.2
  Somewhat disagree 6.3 1.3, 17.2
  Strongly disagree 4.2 0.5, 14.3
  Do not know 2.1 0.1, 11.1
L Enforcement Regional Offices Strongly agree 47.1 37.5, 56.6
  Somewhat agree 40.0 30.6, 49.4
  Neither agree nor disagree 4.7 1.3, 11.6
  Somewhat disagree 4.7 1.3, 11.6
  Strongly disagree 2.4 0.3, 8.2
  Do not know 1.2 0.0, 6.4
M Enforcement Headquarters Strongly agree 49.2 38.8, 59.6
  Somewhat agree 32.3 21.2, 45.1
  Neither agree nor disagree 7.7 2.5, 17.0
  Somewhat disagree 9.2 3.5, 19.0
  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 41.8 31.9, 51.7
  Somewhat agree 40.5 30.7, 50.3
  Neither agree nor disagree 7.6 2.8, 15.8
  Somewhat disagree 3.8 0.8, 10.7
  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 39.7 30.5, 48.8
  Somewhat agree 39.7 30.5, 48.8
  Neither agree nor disagree 12.7 5.6, 23.5
  Somewhat disagree 1.6 0.0, 8.5
  Strongly disagree 6.3 1.8, 15.5
  Do not know 0.0 0.0, 4.6

24d. My direct supervisor provides sufficient performance feedback.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 44.5 40.7, 48.3
  Somewhat agree 30.5 26.9, 34.1
  Neither agree nor disagree 11.0 8.5, 13.8
  Somewhat disagree 9.1 6.8, 11.8
  Strongly disagree 4.1 2.6, 6.0
  Do not know 0.9 0.3, 2.1
B Entry or Mid-Level Non-Supervisors Strongly agree 44.8 40.5, 49.1
  Somewhat agree 30.5 26.4, 34.5
  Neither agree nor disagree 10.2 7.6, 13.4
  Somewhat disagree 10.4 7.8, 13.7
  Strongly disagree 3.5 2.0, 5.6
  Do not know 0.6 0.1, 1.9
C Supervisors Strongly agree 43.4 34.9, 51.9
  Somewhat agree 30.8 22.6, 39.0
  Neither agree nor disagree 13.9 8.1, 21.7
  Somewhat disagree 3.6 1.0, 9.0
  Strongly disagree 6.4 2.6, 12.6
  Do not know 1.9 0.3, 6.5
D Corporation Finance Strongly agree 45.8 36.1, 55.6
  Somewhat agree 36.1 26.7, 45.5
  Neither agree nor disagree 9.7 4.0, 19.0
  Somewhat disagree 5.6 1.5, 13.6
  Strongly disagree 0.0 0.0, 4.1
  Do not know 2.8 0.3, 9.7
E Division of Economic and Risk Analysis Strongly agree 50.0 39.8, 60.2
  Somewhat agree 19.4 8.2, 36.0
  Neither agree nor disagree 5.6 0.7, 18.7
  Somewhat disagree 16.7 6.4, 32.8
  Strongly disagree 5.6 0.7, 18.7
  Do not know 2.8 0.1, 14.5
F Enforcement Strongly agree 50.4 43.4, 57.4
  Somewhat agree 28.8 22.4, 35.2
  Neither agree nor disagree 6.5 3.1, 11.6
  Somewhat disagree 9.7 5.5, 15.6
  Strongly disagree 3.3 1.1, 7.5
  Do not know 1.3 0.2, 4.6
G Investment Management Strongly agree 54.5 44.3, 64.8
  Somewhat agree 27.3 15.0, 42.8
  Neither agree nor disagree 6.8 1.4, 18.7
  Somewhat disagree 9.1 2.5, 21.7
  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 4.3 0.1, 21.9
  Do not know 0.0 0.0, 12.2
I Compliance Inspections and Examinations Strongly agree 35.6 27.9, 43.4
  Somewhat agree 34.5 26.7, 42.3
  Neither agree nor disagree 15.2 9.7, 22.3
  Somewhat disagree 9.2 4.9, 15.2
  Strongly disagree 5.4 2.3, 10.6
  Do not know 0.0 0.0, 2.1
J Information Technology Strongly agree 43.2 32.9, 53.5
  Somewhat agree 22.7 11.5, 37.8
  Neither agree nor disagree 20.5 9.8, 35.3
  Somewhat disagree 4.5 0.6, 15.5
  Strongly disagree 9.1 2.5, 21.7
  Do not know 0.0 0.0, 6.6
K Trading and Markets Strongly agree 45.8 35.3, 56.4
  Somewhat agree 29.2 17.0, 44.1
  Neither agree nor disagree 10.4 3.5, 22.7
  Somewhat disagree 8.3 2.3, 20.0
  Strongly disagree 6.3 1.3, 17.2
  Do not know 0.0 0.0, 6.1
L Enforcement Regional Offices Strongly agree 51.1 41.7, 60.5
  Somewhat agree 29.5 21.0, 38.1
  Neither agree nor disagree 5.7 1.9, 12.8
  Somewhat disagree 9.1 4.0, 17.1
  Strongly disagree 3.4 0.7, 9.6
  Do not know 1.1 0.0, 6.2
M Enforcement Headquarters Strongly agree 49.2 38.8, 59.6
  Somewhat agree 27.7 17.3, 40.2
  Neither agree nor disagree 7.7 2.5, 17.0
  Somewhat disagree 10.8 4.4, 20.9
  Strongly disagree 3.1 0.4, 10.7
  Do not know 1.5 0.0, 8.3
N Compliance Inspections and Examinations Regional Offices Strongly agree 34.6 25.0, 44.2
  Somewhat agree 35.9 26.2, 45.6
  Neither agree nor disagree 15.4 8.2, 25.3
  Somewhat disagree 9.0 3.7, 17.6
  Strongly disagree 5.1 1.4, 12.6
  Do not know 0.0 0.0, 3.8
O Compliance Inspections and Examinations Headquarters Strongly agree 39.3 30.1, 48.6
  Somewhat agree 29.5 18.5, 42.6
  Neither agree nor disagree 14.8 7.0, 26.2
  Somewhat disagree 9.8 3.7, 20.2
  Strongly disagree 6.6 1.8, 15.9
  Do not know 0.0 0.0, 4.8

24e. The criteria for rewarding staff are clearly defined.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 8.2 6.0, 10.7
  Somewhat agree 21.4 18.2, 24.7
  Neither agree nor disagree 17.6 14.7, 20.5
  Somewhat disagree 27.1 23.6, 30.5
  Strongly disagree 23.0 19.9, 26.1
  Do not know 2.7 1.5, 4.4
B Entry or Mid-Level Non-Supervisors Strongly agree 6.8 4.7, 9.6
  Somewhat agree 19.1 15.7, 22.5
  Neither agree nor disagree 17.8 14.5, 21.0
  Somewhat disagree 26.6 22.8, 30.5
  Strongly disagree 26.3 22.6, 29.9
  Do not know 3.4 1.9, 5.5
C Supervisors Strongly agree 13.3 7.7, 21.0
  Somewhat agree 30.6 22.5, 38.6
  Neither agree nor disagree 17.1 10.7, 25.4
  Somewhat disagree 28.7 20.6, 36.8
  Strongly disagree 10.3 5.4, 17.4
  Do not know 0.0 0.0, 2.6
D Corporation Finance Strongly agree 4.2 0.9, 11.7
  Somewhat agree 18.1 10.0, 28.9
  Neither agree nor disagree 18.1 10.0, 28.9
  Somewhat disagree 27.8 17.9, 39.6
  Strongly disagree 27.8 17.9, 39.6
  Do not know 4.2 0.9, 11.7
E Division of Economic and Risk Analysis Strongly agree 11.1 3.1, 26.1
  Somewhat agree 19.4 8.2, 36.0
  Neither agree nor disagree 13.9 4.7, 29.5
  Somewhat disagree 22.2 10.1, 39.2
  Strongly disagree . Data Not Reported
  Do not know 0.0 0.0, 8.0
F Enforcement Strongly agree 11.7 7.1, 17.9
  Somewhat agree 22.6 16.2, 30.1
  Neither agree nor disagree 11.6 7.0, 17.8
  Somewhat disagree 27.7 21.4, 34.0
  Strongly disagree 22.6 16.2, 30.0
  Do not know 3.8 1.4, 8.2
G Investment Management Strongly agree 4.5 0.6, 15.5
  Somewhat agree 18.2 8.2, 32.7
  Neither agree nor disagree 31.8 18.6, 47.6
  Somewhat disagree 22.7 11.5, 37.8
  Strongly disagree 20.5 9.8, 35.3
  Do not know 2.3 0.1, 12.0
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 . Data Not Reported
  Do not know 4.3 0.1, 21.9
I Compliance Inspections and Examinations Strongly agree 6.5 3.0, 11.9
  Somewhat agree 22.8 16.1, 30.6
  Neither agree nor disagree 21.8 15.2, 29.5
  Somewhat disagree 30.2 22.6, 37.8
  Strongly disagree 18.1 12.1, 25.5
  Do not know 0.7 0.0, 3.9
J Information Technology Strongly agree 4.5 0.6, 15.5
  Somewhat agree 18.2 8.2, 32.7
  Neither agree nor disagree 9.1 2.5, 21.7
  Somewhat disagree 22.7 11.5, 37.8
  Strongly disagree 45.5 35.1, 55.8
  Do not know 0.0 0.0, 6.6
K Trading and Markets Strongly agree 8.3 2.3, 20.0
  Somewhat agree 22.9 12.0, 37.3
  Neither agree nor disagree 25.0 13.6, 39.6
  Somewhat disagree 18.8 8.9, 32.6
  Strongly disagree 18.8 8.9, 32.6
  Do not know 6.3 1.3, 17.2
L Enforcement Regional Offices Strongly agree 10.3 4.8, 18.7
  Somewhat agree 25.3 16.6, 35.7
  Neither agree nor disagree 9.2 4.1, 17.3
  Somewhat disagree 35.6 26.6, 44.7
  Strongly disagree 17.2 10.0, 26.8
  Do not know 2.3 0.3, 8.1
M Enforcement Headquarters Strongly agree 13.8 6.5, 24.7
  Somewhat agree 18.5 9.9, 30.0
  Neither agree nor disagree 15.4 7.6, 26.5
  Somewhat disagree 15.4 7.6, 26.5
  Strongly disagree 30.8 19.9, 43.4
  Do not know 6.2 1.7, 15.0
N Compliance Inspections and Examinations Regional Offices Strongly agree 6.5 2.1, 14.5
  Somewhat agree 23.4 14.5, 34.4
  Neither agree nor disagree 22.1 13.4, 33.0
  Somewhat disagree 32.5 23.0, 42.0
  Strongly disagree 15.6 8.3, 25.6
  Do not know 0.0 0.0, 3.8
O Compliance Inspections and Examinations Headquarters Strongly agree 6.3 1.8, 15.5
  Somewhat agree 20.6 11.5, 32.7
  Neither agree nor disagree 20.6 11.5, 32.7
  Somewhat disagree 22.2 12.7, 34.5
  Strongly disagree 27.0 16.6, 39.7
  Do not know 3.2 0.4, 11.0

24f. The criteria for promoting staff are clearly defined.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 7.0 5.0, 9.4
  Somewhat agree 18.7 15.7, 21.8
  Neither agree nor disagree 15.0 12.3, 17.8
  Somewhat disagree 22.5 19.2, 25.8
  Strongly disagree 27.6 24.2, 31.0
  Do not know 9.2 6.9, 11.9
B Entry or Mid-Level Non-Supervisors Strongly agree 5.2 3.3, 7.7
  Somewhat agree 15.4 12.2, 18.5
  Neither agree nor disagree 15.2 12.1, 18.3
  Somewhat disagree 22.8 19.1, 26.4
  Strongly disagree 30.8 26.8, 34.7
  Do not know 10.7 8.0, 14.0
C Supervisors Strongly agree 14.0 8.2, 21.8
  Somewhat agree 31.9 23.8, 40.0
  Neither agree nor disagree 14.4 8.5, 22.2
  Somewhat disagree 21.5 14.3, 30.2
  Strongly disagree 15.2 9.2, 23.2
  Do not know 3.0 0.7, 8.1
D Corporation Finance Strongly agree 2.8 0.3, 9.8
  Somewhat agree 21.1 12.3, 32.4
  Neither agree nor disagree 14.1 7.0, 24.4
  Somewhat disagree 18.3 10.1, 29.3
  Strongly disagree 33.8 24.5, 43.1
  Do not know 9.9 4.1, 19.3
E Division of Economic and Risk Analysis Strongly agree 8.3 1.8, 22.5
  Somewhat agree 19.4 8.2, 36.0
  Neither agree nor disagree 5.6 0.7, 18.7
  Somewhat disagree 11.1 3.1, 26.1
  Strongly disagree 47.2 37.0, 57.4
  Do not know 8.3 1.8, 22.5
F Enforcement Strongly agree 7.8 4.1, 13.2
  Somewhat agree 15.9 10.5, 22.7
  Neither agree nor disagree 12.4 7.7, 18.7
  Somewhat disagree 24.8 18.8, 30.9
  Strongly disagree 28.6 22.3, 35.0
  Do not know 10.4 6.1, 16.4
G Investment Management Strongly agree 2.3 0.1, 12.0
  Somewhat agree 22.7 11.5, 37.8
  Neither agree nor disagree 18.2 8.2, 32.7
  Somewhat disagree 29.5 16.8, 45.2
  Strongly disagree 20.5 9.8, 35.3
  Do not know 6.8 1.4, 18.7
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 . Data Not Reported
  Do not know 8.7 1.1, 28.0
I Compliance Inspections and Examinations Strongly agree 7.4 3.7, 13.0
  Somewhat agree 22.5 15.9, 30.3
  Neither agree nor disagree 18.5 12.5, 26.0
  Somewhat disagree 22.8 16.2, 30.6
  Strongly disagree 21.6 15.1, 29.3
  Do not know 7.1 3.5, 12.7
J Information Technology Strongly agree 4.5 0.6, 15.5
  Somewhat agree 13.6 5.2, 27.4
  Neither agree nor disagree 9.1 2.5, 21.7
  Somewhat disagree 15.9 6.6, 30.1
  Strongly disagree 50.0 39.6, 60.4
  Do not know 6.8 1.4, 18.7
K Trading and Markets Strongly agree 14.6 6.1, 27.8
  Somewhat agree 14.6 6.1, 27.8
  Neither agree nor disagree 18.8 8.9, 32.6
  Somewhat disagree 18.8 8.9, 32.6
  Strongly disagree 18.8 8.9, 32.6
  Do not know 14.6 6.1, 27.8
L Enforcement Regional Offices Strongly agree 6.8 2.5, 14.3
  Somewhat agree 18.2 10.8, 27.8
  Neither agree nor disagree 12.5 6.4, 21.3
  Somewhat disagree 25.0 16.4, 35.4
  Strongly disagree 27.3 18.3, 37.8
  Do not know 10.2 4.8, 18.5
M Enforcement Headquarters Strongly agree 9.2 3.5, 19.0
  Somewhat agree 12.3 5.5, 22.8
  Neither agree nor disagree 12.3 5.5, 22.8
  Somewhat disagree 24.6 14.8, 36.9
  Strongly disagree 30.8 19.9, 43.4
  Do not know 10.8 4.4, 20.9
N Compliance Inspections and Examinations Regional Offices Strongly agree 7.7 2.9, 16.0
  Somewhat agree 23.1 14.3, 34.0
  Neither agree nor disagree 17.9 10.2, 28.3
  Somewhat disagree 24.4 15.3, 35.4
  Strongly disagree 20.5 12.2, 31.2
  Do not know 6.4 2.1, 14.3
O Compliance Inspections and Examinations Headquarters Strongly agree 6.3 1.8, 15.5
  Somewhat agree 20.6 11.5, 32.7
  Neither agree nor disagree 20.6 11.5, 32.7
  Somewhat disagree 17.5 9.1, 29.1
  Strongly disagree 25.4 15.3, 37.9
  Do not know 9.5 3.6, 19.6

24g. The opportunities in my division/office to get promoted into a management position are limited.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 60.3 56.6, 64.0
  Somewhat agree 25.6 22.3, 29.0
  Neither agree nor disagree 6.4 4.6, 8.8
  Somewhat disagree 2.5 1.4, 4.2
  Strongly disagree 1.7 0.8, 3.1
  Do not know 3.4 2.1, 5.3
B Entry or Mid-Level Non-Supervisors Strongly agree 60.4 56.3, 64.5
  Somewhat agree 24.3 20.7, 27.9
  Neither agree nor disagree 6.8 4.7, 9.6
  Somewhat disagree 2.6 1.3, 4.5
  Strongly disagree 1.8 0.8, 3.5
  Do not know 4.1 2.5, 6.4
C Supervisors Strongly agree 60.1 51.7, 68.6
  Somewhat agree 31.0 22.9, 39.1
  Neither agree nor disagree 4.9 1.5, 11.6
  Somewhat disagree 2.2 0.4, 6.9
  Strongly disagree 1.1 0.0, 5.1
  Do not know 0.7 0.0, 4.8
D Corporation Finance Strongly agree 56.9 47.3, 66.6
  Somewhat agree 22.2 13.3, 33.6
  Neither agree nor disagree 5.6 1.5, 13.6
  Somewhat disagree 5.6 1.5, 13.6
  Strongly disagree 2.8 0.3, 9.7
  Do not know 6.9 2.3, 15.5
E Division of Economic and Risk Analysis Strongly agree 51.4 41.3, 61.4
  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 2.7 0.1, 14.2
  Do not know 0.0 0.0, 7.8
F Enforcement Strongly agree 70.1 63.8, 76.5
  Somewhat agree 21.4 15.2, 28.8
  Neither agree nor disagree 4.6 1.9, 9.3
  Somewhat disagree 0.0 0.0, 2.0
  Strongly disagree 1.9 0.4, 5.6
  Do not know 1.9 0.4, 5.6
G Investment Management Strongly agree 43.2 33.0, 53.3
  Somewhat agree 29.5 16.8, 45.2
  Neither agree nor disagree 15.9 6.6, 30.1
  Somewhat disagree 4.5 0.6, 15.5
  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 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 4.3 0.1, 21.9
I Compliance Inspections and Examinations Strongly agree 59.3 51.4, 67.2
  Somewhat agree 27.7 20.4, 34.9
  Neither agree nor disagree 7.0 3.3, 12.6
  Somewhat disagree 2.0 0.4, 5.9
  Strongly disagree 0.7 0.0, 3.9
  Do not know 3.4 1.1, 7.8
J Information Technology Strongly agree 50.0 39.6, 60.4
  Somewhat agree 34.1 20.5, 49.9
  Neither agree nor disagree 9.1 2.5, 21.7
  Somewhat disagree 2.3 0.1, 12.0
  Strongly disagree 2.3 0.1, 12.0
  Do not know 2.3 0.1, 12.0
K Trading and Markets Strongly agree 43.8 33.2, 54.3
  Somewhat agree 35.4 22.2, 50.5
  Neither agree nor disagree 6.3 1.3, 17.2
  Somewhat disagree 6.3 1.3, 17.2
  Strongly disagree 2.1 0.1, 11.1
  Do not know 6.3 1.3, 17.2
L Enforcement Regional Offices Strongly agree 74.7 64.3, 83.4
  Somewhat agree 18.4 10.9, 28.1
  Neither agree nor disagree 4.6 1.3, 11.4
  Somewhat disagree 0.0 0.0, 3.4
  Strongly disagree 1.1 0.0, 6.2
  Do not know 1.1 0.0, 6.2
M Enforcement Headquarters Strongly agree 63.1 53.0, 73.1
  Somewhat agree 26.2 16.0, 38.5
  Neither agree nor disagree 4.6 1.0, 12.9
  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 60.8 51.0, 70.5
  Somewhat agree 27.8 18.3, 39.1
  Neither agree nor disagree 7.6 2.8, 15.8
  Somewhat disagree 1.3 0.0, 6.9
  Strongly disagree 0.0 0.0, 3.7
  Do not know 2.5 0.3, 8.8
O Compliance Inspections and Examinations Headquarters Strongly agree 54.0 44.7, 63.3
  Somewhat agree 27.0 16.6, 39.7
  Neither agree nor disagree 4.8 1.0, 13.3
  Somewhat disagree 4.8 1.0, 13.3
  Strongly disagree 3.2 0.4, 11.0
  Do not know 6.3 1.8, 15.5

24h. Favoritism is typically not an issue in promotions.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 14.9 12.2, 17.7
  Somewhat agree 16.3 13.4, 19.1
  Neither agree nor disagree 17.0 14.1, 19.9
  Somewhat disagree 17.1 14.2, 20.0
  Strongly disagree 16.8 14.0, 19.6
  Do not know 18.0 15.0, 20.9
B Entry or Mid-Level Non-Supervisors Strongly agree 10.2 7.6, 13.4
  Somewhat agree 14.6 11.6, 17.7
  Neither agree nor disagree 17.6 14.3, 20.9
  Somewhat disagree 17.6 14.3, 20.9
  Strongly disagree 18.1 14.9, 21.4
  Do not know 21.8 18.2, 25.3
C Supervisors Strongly agree 33.5 25.2, 41.8
  Somewhat agree 22.7 15.3, 31.6
  Neither agree nor disagree 14.4 8.5, 22.3
  Somewhat disagree 15.2 9.1, 23.2
  Strongly disagree 11.4 6.1, 18.7
  Do not know 2.8 0.6, 7.8
D Corporation Finance Strongly agree 11.1 4.9, 20.7
  Somewhat agree 20.8 12.2, 32.0
  Neither agree nor disagree 8.3 3.1, 17.3
  Somewhat disagree 12.5 5.9, 22.4
  Strongly disagree 26.4 16.7, 38.1
  Do not know 20.8 12.2, 32.0
E Division of Economic and Risk Analysis Strongly agree 21.6 9.8, 38.2
  Somewhat agree 16.2 6.2, 32.0
  Neither agree nor disagree 13.5 4.5, 28.8
  Somewhat disagree 16.2 6.2, 32.0
  Strongly disagree 21.6 9.8, 38.2
  Do not know 10.8 3.0, 25.4
F Enforcement Strongly agree 14.8 9.5, 21.5
  Somewhat agree 15.3 10.0, 22.1
  Neither agree nor disagree 15.9 10.5, 22.7
  Somewhat disagree 21.9 15.5, 29.3
  Strongly disagree 14.4 9.2, 21.0
  Do not know 17.7 12.0, 24.8
G Investment Management Strongly agree 13.6 5.2, 27.4
  Somewhat agree 13.6 5.2, 27.4
  Neither agree nor disagree 25.0 13.2, 40.3
  Somewhat disagree 29.5 16.8, 45.2
  Strongly disagree 6.8 1.4, 18.7
  Do not know 11.4 3.8, 24.6
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 4.3 0.1, 21.9
  Strongly disagree 8.7 1.1, 28.0
  Do not know . Data Not Reported
I Compliance Inspections and Examinations Strongly agree 16.5 10.8, 23.7
  Somewhat agree 17.9 12.0, 25.2
  Neither agree nor disagree 20.2 13.9, 27.8
  Somewhat disagree 12.7 7.7, 19.5
  Strongly disagree 15.6 10.0, 22.6
  Do not know 17.1 11.3, 24.4
J Information Technology Strongly agree 6.8 1.4, 18.7
  Somewhat agree 6.8 1.4, 18.7
  Neither agree nor disagree 22.7 11.5, 37.8
  Somewhat disagree 20.5 9.8, 35.3
  Strongly disagree 31.8 18.6, 47.6
  Do not know 11.4 3.8, 24.6
K Trading and Markets Strongly agree 18.8 8.9, 32.6
  Somewhat agree 10.4 3.5, 22.7
  Neither agree nor disagree 12.5 4.7, 25.2
  Somewhat disagree 14.6 6.1, 27.8
  Strongly disagree 12.5 4.7, 25.2
  Do not know 31.3 18.7, 46.3
L Enforcement Regional Offices Strongly agree 17.2 10.0, 26.8
  Somewhat agree 16.1 9.1, 25.5
  Neither agree nor disagree 16.1 9.1, 25.5
  Somewhat disagree 21.8 13.7, 32.0
  Strongly disagree 12.6 6.5, 21.5
  Do not know 16.1 9.1, 25.5
M Enforcement Headquarters Strongly agree 10.9 4.5, 21.2
  Somewhat agree 14.1 6.6, 25.0
  Neither agree nor disagree 15.6 7.8, 26.9
  Somewhat disagree 21.9 12.5, 34.0
  Strongly disagree 17.2 8.9, 28.7
  Do not know 20.3 11.3, 32.2
N Compliance Inspections and Examinations Regional Offices Strongly agree 16.7 9.2, 26.8
  Somewhat agree 16.7 9.2, 26.8
  Neither agree nor disagree 20.5 12.2, 31.2
  Somewhat disagree 14.1 7.3, 23.8
  Strongly disagree 14.1 7.3, 23.8
  Do not know 17.9 10.2, 28.3
O Compliance Inspections and Examinations Headquarters Strongly agree 15.9 7.9, 27.3
  Somewhat agree 22.2 12.7, 34.5
  Neither agree nor disagree 19.0 10.2, 30.9
  Somewhat disagree 7.9 2.6, 17.6
  Strongly disagree 20.6 11.5, 32.7
  Do not know 14.3 6.7, 25.4

24i. Promotions go to those who most deserve it.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 12.8 10.3, 15.4
  Somewhat agree 23.5 20.2, 26.8
  Neither agree nor disagree 17.5 14.6, 20.4
  Somewhat disagree 16.0 13.1, 18.9
  Strongly disagree 14.9 12.2, 17.5
  Do not know 15.3 12.5, 18.1
B Entry or Mid-Level Non-Supervisors Strongly agree 9.0 6.5, 12.1
  Somewhat agree 21.6 18.0, 25.2
  Neither agree nor disagree 17.3 14.1, 20.5
  Somewhat disagree 16.9 13.6, 20.3
  Strongly disagree 16.5 13.4, 19.6
  Do not know 18.6 15.2, 22.0
C Supervisors Strongly agree 27.7 20.0, 35.4
  Somewhat agree 31.3 23.2, 39.3
  Neither agree nor disagree 18.1 11.4, 26.4
  Somewhat disagree 12.5 7.0, 20.0
  Strongly disagree 8.3 4.0, 15.1
  Do not know 2.2 0.3, 6.9
D Corporation Finance Strongly agree 11.1 4.9, 20.7
  Somewhat agree 22.2 13.3, 33.6
  Neither agree nor disagree 11.1 4.9, 20.7
  Somewhat disagree 16.7 8.9, 27.3
  Strongly disagree 19.4 11.1, 30.5
  Do not know 19.4 11.1, 30.5
E Division of Economic and Risk Analysis Strongly agree 24.3 11.8, 41.2
  Somewhat agree 21.6 9.8, 38.2
  Neither agree nor disagree 10.8 3.0, 25.4
  Somewhat disagree 5.4 0.7, 18.2
  Strongly disagree 18.9 8.0, 35.2
  Do not know 18.9 8.0, 35.2
F Enforcement Strongly agree 13.8 8.8, 20.3
  Somewhat agree 20.6 14.5, 27.9
  Neither agree nor disagree 16.2 10.8, 23.1
  Somewhat disagree 19.7 13.7, 26.9
  Strongly disagree 14.4 9.3, 21.0
  Do not know 15.2 9.9, 21.9
G Investment Management Strongly agree 11.6 3.9, 25.1
  Somewhat agree 25.6 13.5, 41.2
  Neither agree nor disagree 23.3 11.8, 38.6
  Somewhat disagree 20.9 10.0, 36.0
  Strongly disagree 9.3 2.6, 22.1
  Do not know 9.3 2.6, 22.1
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 0.0 0.0, 12.2
  Strongly disagree . Data Not Reported
  Do not know . Data Not Reported
I Compliance Inspections and Examinations Strongly agree 11.5 6.7, 18.0
  Somewhat agree 28.5 21.1, 35.8
  Neither agree nor disagree 19.7 13.4, 27.3
  Somewhat disagree 15.2 9.6, 22.3
  Strongly disagree 10.9 6.2, 17.3
  Do not know 14.2 8.9, 21.2
J Information Technology Strongly agree 4.5 0.6, 15.5
  Somewhat agree 9.1 2.5, 21.7
  Neither agree nor disagree 27.3 15.0, 42.8
  Somewhat disagree 13.6 5.2, 27.4
  Strongly disagree 34.1 20.5, 49.9
  Do not know 11.4 3.8, 24.6
K Trading and Markets Strongly agree 16.7 7.5, 30.2
  Somewhat agree 27.1 15.3, 41.8
  Neither agree nor disagree 14.6 6.1, 27.8
  Somewhat disagree 8.3 2.3, 20.0
  Strongly disagree 14.6 6.1, 27.8
  Do not know 18.8 8.9, 32.6
L Enforcement Regional Offices Strongly agree 13.8 7.3, 22.9
  Somewhat agree 23.0 14.6, 33.2
  Neither agree nor disagree 13.8 7.3, 22.9
  Somewhat disagree 19.5 11.8, 29.4
  Strongly disagree 13.8 7.3, 22.9
  Do not know 16.1 9.1, 25.5
M Enforcement Headquarters Strongly agree 13.8 6.5, 24.7
  Somewhat agree 16.9 8.8, 28.3
  Neither agree nor disagree 20.0 11.1, 31.8
  Somewhat disagree 20.0 11.1, 31.8
  Strongly disagree 15.4 7.6, 26.5
  Do not know 13.8 6.5, 24.7
N Compliance Inspections and Examinations Regional Offices Strongly agree 11.5 5.4, 20.8
  Somewhat agree 28.2 18.6, 39.5
  Neither agree nor disagree 19.2 11.2, 29.7
  Somewhat disagree 16.7 9.2, 26.8
  Strongly disagree 10.3 4.5, 19.2
  Do not know 14.1 7.3, 23.8
O Compliance Inspections and Examinations Headquarters Strongly agree 11.5 4.7, 22.2
  Somewhat agree 29.5 18.5, 42.6
  Neither agree nor disagree 21.3 11.9, 33.7
  Somewhat disagree 9.8 3.7, 20.2
  Strongly disagree 13.1 5.8, 24.2
  Do not know 14.8 7.0, 26.2

24j. There is a clear link between my performance and recognition of it.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 16.1 13.2, 18.9
  Somewhat agree 34.4 30.7, 38.2
  Neither agree nor disagree 18.8 15.8, 21.8
  Somewhat disagree 14.2 11.6, 16.9
  Strongly disagree 14.2 11.6, 16.8
  Do not know 2.3 1.2, 3.9
B Entry or Mid-Level Non-Supervisors Strongly agree 15.0 11.9, 18.1
  Somewhat agree 32.1 28.0, 36.2
  Neither agree nor disagree 19.8 16.4, 23.2
  Somewhat disagree 14.6 11.6, 17.7
  Strongly disagree 15.6 12.6, 18.7
  Do not know 2.9 1.5, 4.9
C Supervisors Strongly agree 20.2 13.2, 28.8
  Somewhat agree 43.8 35.1, 52.5
  Neither agree nor disagree 14.9 8.9, 22.8
  Somewhat disagree 12.7 7.1, 20.3
  Strongly disagree 8.5 4.0, 15.3
  Do not know 0.0 0.0, 2.6
D Corporation Finance Strongly agree 8.6 3.2, 17.7
  Somewhat agree 35.7 26.2, 45.2
  Neither agree nor disagree 18.6 10.3, 29.7
  Somewhat disagree 17.1 9.2, 28.0
  Strongly disagree 14.3 7.1, 24.7
  Do not know 5.7 1.6, 14.0
E Division of Economic and Risk Analysis Strongly agree . Data Not Reported
  Somewhat agree 24.3 11.8, 41.2
  Neither agree nor disagree 13.5 4.5, 28.8
  Somewhat disagree 18.9 8.0, 35.2
  Strongly disagree 13.5 4.5, 28.8
  Do not know 0.0 0.0, 7.8
F Enforcement Strongly agree 16.4 10.9, 23.3
  Somewhat agree 36.7 29.9, 43.6
  Neither agree nor disagree 15.0 9.7, 21.7
  Somewhat disagree 14.1 9.0, 20.7
  Strongly disagree 16.4 10.9, 23.3
  Do not know 1.3 0.2, 4.7
G Investment Management Strongly agree 18.6 8.4, 33.4
  Somewhat agree 25.6 13.5, 41.2
  Neither agree nor disagree 23.3 11.8, 38.6
  Somewhat disagree 25.6 13.5, 41.2
  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 8.7 1.1, 28.0
  Strongly disagree . Data Not Reported
  Do not know 8.7 1.1, 28.0
I Compliance Inspections and Examinations Strongly agree 17.1 11.3, 24.4
  Somewhat agree 38.7 30.8, 46.6
  Neither agree nor disagree 19.8 13.6, 27.4
  Somewhat disagree 13.5 8.3, 20.3
  Strongly disagree 9.4 5.2, 15.5
  Do not know 1.3 0.2, 4.9
J Information Technology Strongly agree 9.1 2.5, 21.7
  Somewhat agree 22.7 11.5, 37.8
  Neither agree nor disagree 29.5 16.8, 45.2
  Somewhat disagree 6.8 1.4, 18.7
  Strongly disagree 29.5 16.8, 45.2
  Do not know 2.3 0.1, 12.0
K Trading and Markets Strongly agree 20.8 10.5, 35.0
  Somewhat agree 25.0 13.6, 39.6
  Neither agree nor disagree 22.9 12.0, 37.3
  Somewhat disagree 10.4 3.5, 22.7
  Strongly disagree 16.7 7.5, 30.2
  Do not know 4.2 0.5, 14.3
L Enforcement Regional Offices Strongly agree 14.9 8.2, 24.2
  Somewhat agree 40.2 30.9, 49.5
  Neither agree nor disagree 12.6 6.5, 21.5
  Somewhat disagree 16.1 9.1, 25.5
  Strongly disagree 14.9 8.2, 24.2
  Do not know 1.1 0.0, 6.2
M Enforcement Headquarters Strongly agree 18.7 10.1, 30.5
  Somewhat agree 31.3 20.2, 44.1
  Neither agree nor disagree 18.7 10.1, 30.5
  Somewhat disagree 10.9 4.5, 21.2
  Strongly disagree 18.7 10.1, 30.5
  Do not know 1.6 0.0, 8.4
N Compliance Inspections and Examinations Regional Offices Strongly agree 17.9 10.2, 28.3
  Somewhat agree 38.5 28.6, 48.3
  Neither agree nor disagree 20.5 12.2, 31.2
  Somewhat disagree 12.8 6.3, 22.3
  Strongly disagree 9.0 3.7, 17.6
  Do not know 1.3 0.0, 6.9
O Compliance Inspections and Examinations Headquarters Strongly agree 14.3 6.7, 25.4
  Somewhat agree 39.7 30.5, 48.8
  Neither agree nor disagree 17.5 9.1, 29.1
  Somewhat disagree 15.9 7.9, 27.3
  Strongly disagree 11.1 4.6, 21.6
  Do not know 1.6 0.0, 8.5

24k. Current performance incentives are effective tools to motivate employees to perform well.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 5.2 3.5, 7.4
  Somewhat agree 14.1 11.4, 16.8
  Neither agree nor disagree 19.4 16.3, 22.4
  Somewhat disagree 24.6 21.3, 28.0
  Strongly disagree 33.1 29.5, 36.8
  Do not know 3.6 2.2, 5.4
B Entry or Mid-Level Non-Supervisors Strongly agree 5.2 3.3, 7.7
  Somewhat agree 13.4 10.4, 16.9
  Neither agree nor disagree 21.3 17.8, 24.9
  Somewhat disagree 22.8 19.2, 26.4
  Strongly disagree 33.2 29.1, 37.2
  Do not know 4.1 2.5, 6.4
C Supervisors Strongly agree 5.3 1.9, 11.3
  Somewhat agree 16.8 10.4, 25.0
  Neither agree nor disagree 11.7 6.4, 19.1
  Somewhat disagree 31.9 23.8, 40.1
  Strongly disagree 33.0 24.8, 41.1
  Do not know 1.4 0.1, 5.7
D Corporation Finance Strongly agree 6.9 2.3, 15.5
  Somewhat agree 13.9 6.9, 24.1
  Neither agree nor disagree 16.7 8.9, 27.3
  Somewhat disagree 16.7 8.9, 27.3
  Strongly disagree 41.7 32.0, 51.3
  Do not know 4.2 0.9, 11.7
E Division of Economic and Risk Analysis Strongly agree 5.6 0.7, 18.7
  Somewhat agree 11.1 3.1, 26.1
  Neither agree nor disagree 8.3 1.8, 22.5
  Somewhat disagree . Data Not Reported
  Strongly disagree . Data Not Reported
  Do not know 2.8 0.1, 14.5
F Enforcement Strongly agree 4.4 1.8, 9.0
  Somewhat agree 15.8 10.4, 22.6
  Neither agree nor disagree 15.1 9.8, 21.8
  Somewhat disagree 28.9 22.5, 35.3
  Strongly disagree 31.8 25.2, 38.4
  Do not know 3.9 1.4, 8.3
G Investment Management Strongly agree 0.0 0.0, 6.6
  Somewhat agree 13.6 5.2, 27.4
  Neither agree nor disagree 27.3 15.0, 42.8
  Somewhat disagree 29.5 16.8, 45.2
  Strongly disagree 27.3 15.0, 42.8
  Do not know 2.3 0.1, 12.0
H Office of the Chief Accountant and Office of Credit Ratings Strongly agree 4.3 0.1, 21.9
  Somewhat agree 4.3 0.1, 21.9
  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 5.7 2.5, 11.1
  Somewhat agree 14.2 8.9, 21.2
  Neither agree nor disagree 23.0 16.3, 30.9
  Somewhat disagree 23.0 16.3, 30.9
  Strongly disagree 32.2 24.6, 39.8
  Do not know 1.7 0.3, 5.5
J Information Technology Strongly agree 6.8 1.4, 18.7
  Somewhat agree 13.6 5.2, 27.4
  Neither agree nor disagree 22.7 11.5, 37.8
  Somewhat disagree 13.6 5.2, 27.4
  Strongly disagree 34.1 20.5, 49.9
  Do not know 9.1 2.5, 21.7
K Trading and Markets Strongly agree 6.3 1.3, 17.2
  Somewhat agree 10.4 3.5, 22.7
  Neither agree nor disagree 25.0 13.6, 39.6
  Somewhat disagree 29.2 17.0, 44.1
  Strongly disagree 25.0 13.6, 39.6
  Do not know 4.2 0.5, 14.3
L Enforcement Regional Offices Strongly agree 2.3 0.3, 8.1
  Somewhat agree 16.1 9.1, 25.5
  Neither agree nor disagree 14.9 8.2, 24.2
  Somewhat disagree 28.7 19.5, 39.4
  Strongly disagree 34.5 25.5, 43.5
  Do not know 3.4 0.7, 9.7
M Enforcement Headquarters Strongly agree 7.7 2.5, 17.0
  Somewhat agree 15.4 7.6, 26.5
  Neither agree nor disagree 15.4 7.6, 26.5
  Somewhat disagree 29.2 18.6, 41.8
  Strongly disagree 27.7 17.3, 40.2
  Do not know 4.6 1.0, 12.9
N Compliance Inspections and Examinations Regional Offices Strongly agree 6.4 2.1, 14.3
  Somewhat agree 14.1 7.3, 23.8
  Neither agree nor disagree 23.1 14.3, 34.0
  Somewhat disagree 23.1 14.3, 34.0
  Strongly disagree 32.1 22.6, 41.5
  Do not know 1.3 0.0, 6.9
O Compliance Inspections and Examinations Headquarters Strongly agree 3.3 0.4, 11.3
  Somewhat agree 14.8 7.0, 26.2
  Neither agree nor disagree 23.0 13.2, 35.5
  Somewhat disagree 23.0 13.2, 35.5
  Strongly disagree 32.8 21.3, 46.0
  Do not know 3.3 0.4, 11.3

25. In the past three years, to what extent do you agree or disagree that you have been treated fairly in each of the areas listed below? (Select one response per item.)

25a. Career advancement (Promotions)

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 19.9 16.8, 23.0
  Somewhat agree 17.0 14.1, 19.9
  Neither agree nor disagree 15.9 13.0, 18.7
  Somewhat disagree 8.4 6.2, 11.0
  Strongly disagree 10.7 8.3, 13.6
  No basis to judge 25.8 22.4, 29.1
  Do not know 2.4 1.3, 4.1
B Entry or Mid-Level Non-Supervisors Strongly agree 16.4 13.2, 19.7
  Somewhat agree 15.7 12.6, 18.9
  Neither agree nor disagree 16.8 13.6, 20.1
  Somewhat disagree 8.6 6.2, 11.6
  Strongly disagree 12.4 9.5, 15.8
  No basis to judge 27.0 23.2, 30.7
  Do not know 3.0 1.7, 5.1
C Supervisors Strongly agree 33.4 25.0, 41.7
  Somewhat agree 21.9 14.6, 30.7
  Neither agree nor disagree 12.1 6.7, 19.6
  Somewhat disagree 7.4 3.3, 14.0
  Strongly disagree 4.2 1.3, 9.8
  No basis to judge 20.9 13.8, 29.6
  Do not know 0.0 0.0, 2.6
D Corporation Finance Strongly agree 11.1 4.9, 20.7
  Somewhat agree 22.2 13.3, 33.6
  Neither agree nor disagree 15.3 7.9, 25.7
  Somewhat disagree 8.3 3.1, 17.3
  Strongly disagree 11.1 4.9, 20.7
  No basis to judge 29.2 19.0, 41.1
  Do not know 2.8 0.3, 9.7
E Division of Economic and Risk Analysis Strongly agree . Data Not Reported
  Somewhat agree 19.4 8.2, 36.0
  Neither agree nor disagree 13.9 4.7, 29.5
  Somewhat disagree 0.0 0.0, 8.0
  Strongly disagree 19.4 8.2, 36.0
  No basis to judge 16.7 6.4, 32.8
  Do not know 2.8 0.1, 14.5
F Enforcement Strongly agree 18.3 12.5, 25.5
  Somewhat agree 11.3 6.7, 17.4
  Neither agree nor disagree 16.0 10.5, 22.8
  Somewhat disagree 9.2 5.1, 14.9
  Strongly disagree 8.5 4.6, 14.1
  No basis to judge 33.4 26.7, 40.1
  Do not know 3.3 1.1, 7.6
G Investment Management Strongly agree 13.6 5.2, 27.4
  Somewhat agree 27.3 15.0, 42.8
  Neither agree nor disagree 20.5 9.8, 35.3
  Somewhat disagree 4.5 0.6, 15.5
  Strongly disagree 4.5 0.6, 15.5
  No basis to judge 29.5 16.8, 45.2
  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 9.1 1.1, 29.2
  Neither agree nor disagree . Data Not Reported
  Somewhat disagree 4.5 0.1, 22.8
  Strongly disagree . Data Not Reported
  No basis to judge . Data Not Reported
  Do not know 4.5 0.1, 22.8
I Compliance Inspections and Examinations Strongly agree 26.9 19.7, 34.1
  Somewhat agree 22.3 15.7, 30.1
  Neither agree nor disagree 13.7 8.4, 20.7
  Somewhat disagree 9.0 4.8, 15.2
  Strongly disagree 9.4 5.2, 15.5
  No basis to judge 16.2 10.5, 23.3
  Do not know 2.3 0.5, 6.5
J Information Technology Strongly agree 2.3 0.1, 12.0
  Somewhat agree 9.1 2.5, 21.7
  Neither agree nor disagree 29.5 16.8, 45.2
  Somewhat disagree 9.1 2.5, 21.7
  Strongly disagree 29.5 16.8, 45.2
  No basis to judge 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 12.8 4.8, 25.7
  Neither agree nor disagree 10.6 3.5, 23.1
  Somewhat disagree 8.5 2.4, 20.4
  Strongly disagree 12.8 4.8, 25.7
  No basis to judge 29.8 17.3, 44.9
  Do not know 0.0 0.0, 6.2
L Enforcement Regional Offices Strongly agree 16.1 9.1, 25.5
  Somewhat agree 11.5 5.7, 20.1
  Neither agree nor disagree 17.2 10.0, 26.8
  Somewhat disagree 8.0 3.3, 15.9
  Strongly disagree 6.9 2.6, 14.4
  No basis to judge 36.8 27.7, 45.9
  Do not know 3.4 0.7, 9.7
M Enforcement Headquarters Strongly agree 21.9 12.5, 34.0
  Somewhat agree 10.9 4.5, 21.2
  Neither agree nor disagree 14.1 6.6, 25.0
  Somewhat disagree 10.9 4.5, 21.2
  Strongly disagree 10.9 4.5, 21.2
  No basis to judge 28.1 17.6, 40.8
  Do not know 3.1 0.4, 10.8
N Compliance Inspections and Examinations Regional Offices Strongly agree 26.9 17.5, 38.2
  Somewhat agree 20.5 12.2, 31.2
  Neither agree nor disagree 15.4 8.2, 25.3
  Somewhat disagree 10.3 4.5, 19.2
  Strongly disagree 9.0 3.7, 17.6
  No basis to judge 15.4 8.2, 25.3
  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 28.6 17.9, 41.3
  Neither agree nor disagree 7.9 2.6, 17.6
  Somewhat disagree 4.8 1.0, 13.3
  Strongly disagree 11.1 4.6, 21.6
  No basis to judge 19.0 10.2, 30.9
  Do not know 1.6 0.0, 8.5

25b. Awards

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 26.2 22.7, 29.6
  Somewhat agree 28.8 25.2, 32.3
  Neither agree nor disagree 14.5 11.8, 17.3
  Somewhat disagree 12.1 9.6, 14.7
  Strongly disagree 9.8 7.5, 12.6
  No basis to judge 6.4 4.5, 8.7
  Do not know 2.2 1.2, 3.8
B Entry or Mid-Level Non-Supervisors Strongly agree 24.1 20.4, 27.9
  Somewhat agree 27.7 23.9, 31.6
  Neither agree nor disagree 15.5 12.4, 18.7
  Somewhat disagree 12.5 9.6, 15.9
  Strongly disagree 10.4 7.7, 13.6
  No basis to judge 6.9 4.7, 9.7
  Do not know 2.8 1.5, 4.8
C Supervisors Strongly agree 34.2 25.8, 42.5
  Somewhat agree 32.7 24.7, 40.7
  Neither agree nor disagree 10.7 5.6, 17.9
  Somewhat disagree 10.7 5.7, 17.9
  Strongly disagree 7.5 3.4, 14.0
  No basis to judge 4.3 1.3, 10.0
  Do not know 0.0 0.0, 2.6
D Corporation Finance Strongly agree 15.3 7.9, 25.7
  Somewhat agree 25.0 15.5, 36.6
  Neither agree nor disagree 15.3 7.9, 25.7
  Somewhat disagree 13.9 6.9, 24.1
  Strongly disagree 15.3 7.9, 25.7
  No basis to judge 12.5 5.9, 22.4
  Do not know 2.8 0.3, 9.7
E Division of Economic and Risk Analysis Strongly agree 21.6 9.8, 38.2
  Somewhat agree 24.3 11.8, 41.2
  Neither agree nor disagree 21.6 9.8, 38.2
  Somewhat disagree 8.1 1.7, 21.9
  Strongly disagree 10.8 3.0, 25.4
  No basis to judge 10.8 3.0, 25.4
  Do not know 2.7 0.1, 14.2
F Enforcement Strongly agree 33.0 26.4, 39.7
  Somewhat agree 28.3 22.0, 34.7
  Neither agree nor disagree 11.0 6.5, 17.1
  Somewhat disagree 13.1 8.2, 19.5
  Strongly disagree 6.0 2.8, 11.0
  No basis to judge 7.2 3.6, 12.5
  Do not know 1.3 0.2, 4.7
G Investment Management Strongly agree 18.2 8.2, 32.7
  Somewhat agree 27.3 15.0, 42.8
  Neither agree nor disagree 18.2 8.2, 32.7
  Somewhat disagree 18.2 8.2, 32.7
  Strongly disagree 6.8 1.4, 18.7
  No basis to judge 6.8 1.4, 18.7
  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 . Data Not Reported
  Somewhat disagree 8.7 1.1, 28.0
  Strongly disagree . 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 Strongly agree 28.3 21.0, 35.6
  Somewhat agree 31.7 24.1, 39.2
  Neither agree nor disagree 16.5 10.6, 24.0
  Somewhat disagree 10.8 6.2, 17.3
  Strongly disagree 7.9 4.0, 13.7
  No basis to judge 2.4 0.5, 6.6
  Do not know 2.4 0.6, 6.5
J Information Technology Strongly agree 2.3 0.1, 12.0
  Somewhat agree 29.5 16.8, 45.2
  Neither agree nor disagree 20.5 9.8, 35.3
  Somewhat disagree 9.1 2.5, 21.7
  Strongly disagree 36.4 22.4, 52.2
  No basis to judge 2.3 0.1, 12.0
  Do not know 0.0 0.0, 6.6
K Trading and Markets Strongly agree 25.5 13.9, 40.3
  Somewhat agree 31.9 19.1, 47.1
  Neither agree nor disagree 10.6 3.5, 23.1
  Somewhat disagree 10.6 3.5, 23.1
  Strongly disagree 8.5 2.4, 20.4
  No basis to judge 8.5 2.4, 20.4
  Do not know 4.3 0.5, 14.5
L Enforcement Regional Offices Strongly agree 34.5 25.5, 43.5
  Somewhat agree 28.7 19.5, 39.4
  Neither agree nor disagree 9.2 4.1, 17.3
  Somewhat disagree 12.6 6.5, 21.5
  Strongly disagree 6.9 2.6, 14.4
  No basis to judge 6.9 2.6, 14.4
  Do not know 1.1 0.0, 6.2
M Enforcement Headquarters Strongly agree 30.8 19.9, 43.4
  Somewhat agree 27.7 17.3, 40.2
  Neither agree nor disagree 13.8 6.5, 24.7
  Somewhat disagree 13.8 6.5, 24.7
  Strongly disagree 4.6 1.0, 12.9
  No basis to judge 7.7 2.5, 17.0
  Do not know 1.5 0.0, 8.3
N Compliance Inspections and Examinations Regional Offices Strongly agree 27.3 17.7, 38.6
  Somewhat agree 31.2 21.8, 40.6
  Neither agree nor disagree 19.5 11.3, 30.1
  Somewhat disagree 11.7 5.5, 21.0
  Strongly disagree 6.5 2.1, 14.5
  No basis to judge 2.6 0.3, 9.1
  Do not know 1.3 0.0, 7.0
O Compliance Inspections and Examinations Headquarters Strongly agree 31.7 20.6, 44.7
  Somewhat agree 33.3 22.0, 46.3
  Neither agree nor disagree 6.3 1.8, 15.5
  Somewhat disagree 7.9 2.6, 17.6
  Strongly disagree 12.7 5.6, 23.5
  No basis to judge 1.6 0.0, 8.5
  Do not know 6.3 1.8, 15.5

25c. Training

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 34.4 30.7, 38.1
  Somewhat agree 32.5 28.9, 36.1
  Neither agree nor disagree 17.2 14.3, 20.0
  Somewhat disagree 6.2 4.3, 8.5
  Strongly disagree 4.4 2.8, 6.4
  No basis to judge 3.8 2.4, 5.7
  Do not know 1.7 0.8, 3.1
B Entry or Mid-Level Non-Supervisors Strongly agree 33.7 29.6, 37.8
  Somewhat agree 32.1 28.1, 36.1
  Neither agree nor disagree 17.0 13.9, 20.2
  Somewhat disagree 6.9 4.7, 9.6
  Strongly disagree 4.3 2.6, 6.6
  No basis to judge 4.0 2.4, 6.3
  Do not know 2.1 1.0, 3.9
C Supervisors Strongly agree 37.1 28.6, 45.5
  Somewhat agree 34.0 25.8, 42.2
  Neither agree nor disagree 17.7 11.1, 26.0
  Somewhat disagree 3.6 1.0, 8.9
  Strongly disagree 4.8 1.6, 10.5
  No basis to judge 2.9 0.7, 8.0
  Do not know 0.0 0.0, 2.6
D Corporation Finance Strongly agree 26.4 16.7, 38.1
  Somewhat agree 41.7 32.0, 51.3
  Neither agree nor disagree 16.7 8.9, 27.3
  Somewhat disagree 6.9 2.3, 15.5
  Strongly disagree 2.8 0.3, 9.7
  No basis to judge 4.2 0.9, 11.7
  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 22.2 10.1, 39.2
  Somewhat disagree 5.6 0.7, 18.7
  Strongly disagree 5.6 0.7, 18.7
  No basis to judge 5.6 0.7, 18.7
  Do not know 2.8 0.1, 14.5
F Enforcement Strongly agree 42.2 35.3, 49.2
  Somewhat agree 26.8 20.6, 33.1
  Neither agree nor disagree 13.9 8.8, 20.4
  Somewhat disagree 5.8 2.7, 10.8
  Strongly disagree 2.7 0.8, 6.7
  No basis to judge 6.6 3.2, 11.8
  Do not know 1.9 0.4, 5.6
G Investment Management Strongly agree 17.1 7.2, 32.1
  Somewhat agree 48.8 38.2, 59.4
  Neither agree nor disagree 14.6 5.6, 29.2
  Somewhat disagree 9.8 2.7, 23.1
  Strongly disagree 2.4 0.1, 12.9
  No basis to judge 2.4 0.1, 12.9
  Do not know 4.9 0.6, 16.5
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 . Data Not Reported
  Somewhat disagree 4.3 0.1, 21.9
  Strongly disagree 4.3 0.1, 21.9
  No basis to judge 8.7 1.1, 28.0
  Do not know 4.3 0.1, 21.9
I Compliance Inspections and Examinations Strongly agree 35.0 27.4, 42.7
  Somewhat agree 34.2 26.5, 42.0
  Neither agree nor disagree 18.7 12.7, 26.1
  Somewhat disagree 5.6 2.4, 11.0
  Strongly disagree 4.0 1.4, 8.7
  No basis to judge 1.0 0.1, 4.4
  Do not know 1.3 0.1, 4.9
J Information Technology Strongly agree 13.6 5.2, 27.4
  Somewhat agree 18.2 8.2, 32.7
  Neither agree nor disagree 31.8 18.6, 47.6
  Somewhat disagree 13.6 5.2, 27.4
  Strongly disagree 20.5 9.8, 35.3
  No basis to judge 2.3 0.1, 12.0
  Do not know 0.0 0.0, 6.6
K Trading and Markets Strongly agree 34.0 20.9, 49.3
  Somewhat agree 44.7 34.0, 55.3
  Neither agree nor disagree 12.8 4.8, 25.7
  Somewhat disagree 2.1 0.1, 11.3
  Strongly disagree 6.4 1.3, 17.5
  No basis to judge 0.0 0.0, 6.2
  Do not know 0.0 0.0, 6.2
L Enforcement Regional Offices Strongly agree 43.7 34.3, 53.1
  Somewhat agree 25.3 16.6, 35.7
  Neither agree nor disagree 14.9 8.2, 24.2
  Somewhat disagree 4.6 1.3, 11.4
  Strongly disagree 3.4 0.7, 9.7
  No basis to judge 6.9 2.6, 14.4
  Do not know 1.1 0.0, 6.2
M Enforcement Headquarters Strongly agree 40.0 29.8, 50.2
  Somewhat agree 29.2 18.6, 41.8
  Neither agree nor disagree 12.3 5.5, 22.8
  Somewhat disagree 7.7 2.5, 17.0
  Strongly disagree 1.5 0.0, 8.3
  No basis to judge 6.2 1.7, 15.0
  Do not know 3.1 0.4, 10.7
N Compliance Inspections and Examinations Regional Offices Strongly agree 34.2 24.7, 43.7
  Somewhat agree 36.7 27.0, 46.4
  Neither agree nor disagree 17.7 10.0, 27.9
  Somewhat disagree 6.3 2.1, 14.2
  Strongly disagree 3.8 0.8, 10.7
  No basis to judge 0.0 0.0, 3.7
  Do not know 1.3 0.0, 6.9
O Compliance Inspections and Examinations Headquarters Strongly agree 38.1 29.0, 47.2
  Somewhat agree 25.4 15.3, 37.9
  Neither agree nor disagree 22.2 12.7, 34.5
  Somewhat disagree 3.2 0.4, 11.0
  Strongly disagree 4.8 1.0, 13.3
  No basis to judge 4.8 1.0, 13.3
  Do not know 1.6 0.0, 8.5

25d. Performance appraisals

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 40.8 37.0, 44.6
  Somewhat agree 33.6 30.0, 37.2
  Neither agree nor disagree 12.0 9.4, 14.5
  Somewhat disagree 5.5 3.7, 7.7
  Strongly disagree 4.8 3.2, 6.9
  No basis to judge 2.2 1.1, 3.8
  Do not know 1.2 0.5, 2.5
B Entry or Mid-Level Non-Supervisors Strongly agree 39.6 35.4, 43.8
  Somewhat agree 34.0 29.9, 38.1
  Neither agree nor disagree 12.4 9.5, 15.8
  Somewhat disagree 5.2 3.3, 7.7
  Strongly disagree 4.6 2.9, 7.0
  No basis to judge 2.6 1.3, 4.6
  Do not know 1.5 0.6, 3.2
C Supervisors Strongly agree 45.2 36.6, 53.9
  Somewhat agree 31.8 24.1, 39.6
  Neither agree nor disagree 10.3 5.4, 17.5
  Somewhat disagree 6.6 2.8, 12.8
  Strongly disagree 5.5 2.1, 11.4
  No basis to judge 0.6 0.0, 4.8
  Do not know 0.0 0.0, 2.6
D Corporation Finance Strongly agree 31.9 21.4, 44.0
  Somewhat agree 43.1 33.4, 52.7
  Neither agree nor disagree 9.7 4.0, 19.0
  Somewhat disagree 2.8 0.3, 9.7
  Strongly disagree 5.6 1.5, 13.6
  No basis to judge 6.9 2.3, 15.5
  Do not know 0.0 0.0, 4.1
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 8.1 1.7, 21.9
  Strongly disagree 8.1 1.7, 21.9
  No basis to judge 5.4 0.7, 18.2
  Do not know 0.0 0.0, 7.8
F Enforcement Strongly agree 44.0 37.0, 50.9
  Somewhat agree 35.0 28.3, 41.8
  Neither agree nor disagree 9.1 5.1, 14.9
  Somewhat disagree 5.2 2.3, 10.0
  Strongly disagree 3.3 1.1, 7.5
  No basis to judge 2.0 0.4, 5.7
  Do not know 1.4 0.2, 4.8
G Investment Management Strongly agree . Data Not Reported
  Somewhat agree . Data Not Reported
  Neither agree nor disagree 9.1 2.5, 21.7
  Somewhat disagree 2.3 0.1, 12.0
  Strongly disagree 2.3 0.1, 12.0
  No basis to judge 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 . Data Not Reported
  Somewhat disagree 0.0 0.0, 12.2
  Strongly disagree 8.7 1.1, 28.0
  No basis to judge 4.3 0.1, 21.9
  Do not know 0.0 0.0, 12.2
I Compliance Inspections and Examinations Strongly agree 40.2 32.2, 48.2
  Somewhat agree 31.2 23.8, 38.6
  Neither agree nor disagree 16.8 11.0, 24.1
  Somewhat disagree 6.0 2.5, 11.8
  Strongly disagree 3.7 1.2, 8.3
  No basis to judge 0.4 0.0, 3.9
  Do not know 1.7 0.3, 5.5
J Information Technology Strongly agree 34.9 21.0, 50.9
  Somewhat agree 25.6 13.5, 41.2
  Neither agree nor disagree 7.0 1.5, 19.1
  Somewhat disagree 14.0 5.3, 27.9
  Strongly disagree 16.3 6.8, 30.7
  No basis to judge 2.3 0.1, 12.3
  Do not know 0.0 0.0, 6.7
K Trading and Markets Strongly agree 53.2 42.5, 63.9
  Somewhat agree 25.5 13.9, 40.3
  Neither agree nor disagree 8.5 2.4, 20.4
  Somewhat disagree 6.4 1.3, 17.5
  Strongly disagree 6.4 1.3, 17.5
  No basis to judge 0.0 0.0, 6.2
  Do not know 0.0 0.0, 6.2
L Enforcement Regional Offices Strongly agree 42.5 33.2, 51.9
  Somewhat agree 36.8 27.7, 45.9
  Neither agree nor disagree 8.0 3.3, 15.9
  Somewhat disagree 4.6 1.3, 11.4
  Strongly disagree 3.4 0.7, 9.7
  No basis to judge 2.3 0.3, 8.1
  Do not know 2.3 0.3, 8.1
M Enforcement Headquarters Strongly agree 46.2 35.8, 56.5
  Somewhat agree 32.3 21.2, 45.1
  Neither agree nor disagree 10.8 4.4, 20.9
  Somewhat disagree 6.2 1.7, 15.0
  Strongly disagree 3.1 0.4, 10.7
  No basis to judge 1.5 0.0, 8.3
  Do not know 0.0 0.0, 4.5
N Compliance Inspections and Examinations Regional Offices Strongly agree 41.0 31.1, 50.9
  Somewhat agree 28.2 18.6, 39.5
  Neither agree nor disagree 17.9 10.2, 28.3
  Somewhat disagree 7.7 2.9, 16.0
  Strongly disagree 3.8 0.8, 10.8
  No basis to judge 0.0 0.0, 3.8
  Do not know 1.3 0.0, 6.9
O Compliance Inspections and Examinations Headquarters Strongly agree 37.1 28.0, 46.2
  Somewhat agree 41.9 32.6, 51.2
  Neither agree nor disagree 12.9 5.7, 23.9
  Somewhat disagree 0.0 0.0, 4.7
  Strongly disagree 3.2 0.4, 11.2
  No basis to judge 1.6 0.0, 8.7
  Do not know 3.2 0.4, 11.2

25e. Job assignments

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 37.2 33.4, 40.9
  Somewhat agree 32.0 28.4, 35.6
  Neither agree nor disagree 13.5 10.9, 16.1
  Somewhat disagree 7.6 5.5, 10.1
  Strongly disagree 5.1 3.4, 7.3
  No basis to judge 3.6 2.2, 5.5
  Do not know 1.0 0.4, 2.3
B Entry or Mid-Level Non-Supervisors Strongly agree 34.7 30.6, 38.8
  Somewhat agree 31.7 27.7, 35.7
  Neither agree nor disagree 13.7 10.6, 17.2
  Somewhat disagree 8.7 6.3, 11.8
  Strongly disagree 5.7 3.7, 8.3
  No basis to judge 4.2 2.5, 6.5
  Do not know 1.3 0.5, 2.9
C Supervisors Strongly agree 46.8 38.2, 55.4
  Somewhat agree 33.1 25.0, 41.3
  Neither agree nor disagree 12.8 7.3, 20.4
  Somewhat disagree 3.1 0.8, 8.2
  Strongly disagree 2.7 0.6, 7.7
  No basis to judge 1.4 0.1, 5.7
  Do not know 0.0 0.0, 2.6
D Corporation Finance Strongly agree 29.6 19.3, 41.6
  Somewhat agree 38.0 28.5, 47.6
  Neither agree nor disagree 12.7 6.0, 22.7
  Somewhat disagree 2.8 0.3, 9.8
  Strongly disagree 5.6 1.6, 13.8
  No basis to judge 9.9 4.1, 19.3
  Do not know 1.4 0.0, 7.6
E Division of Economic and Risk Analysis Strongly agree 48.6 38.6, 58.7
  Somewhat agree 18.9 8.0, 35.2
  Neither agree nor disagree 8.1 1.7, 21.9
  Somewhat disagree 16.2 6.2, 32.0
  Strongly disagree 5.4 0.7, 18.2
  No basis to judge 2.7 0.1, 14.2
  Do not know 0.0 0.0, 7.8
F Enforcement Strongly agree 38.2 31.4, 45.1
  Somewhat agree 29.9 23.4, 36.4
  Neither agree nor disagree 13.5 8.5, 20.0
  Somewhat disagree 8.5 4.6, 14.1
  Strongly disagree 3.8 1.4, 8.2
  No basis to judge 4.7 1.9, 9.4
  Do not know 1.3 0.2, 4.7
G Investment Management Strongly agree 27.9 15.3, 43.7
  Somewhat agree 48.8 38.5, 59.2
  Neither agree nor disagree 11.6 3.9, 25.1
  Somewhat disagree 4.7 0.6, 15.8
  Strongly disagree 4.7 0.6, 15.8
  No basis to judge 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
  No basis to judge 4.3 0.1, 21.9
  Do not know 0.0 0.0, 12.2
I Compliance Inspections and Examinations Strongly agree 40.4 32.5, 48.4
  Somewhat agree 32.0 24.4, 39.6
  Neither agree nor disagree 13.4 8.3, 20.2
  Somewhat disagree 8.3 4.2, 14.6
  Strongly disagree 3.4 1.1, 7.9
  No basis to judge 1.1 0.1, 4.5
  Do not know 1.3 0.2, 4.9
J Information Technology Strongly agree 15.9 6.6, 30.1
  Somewhat agree 27.3 15.0, 42.8
  Neither agree nor disagree 22.7 11.5, 37.8
  Somewhat disagree 11.4 3.8, 24.6
  Strongly disagree 20.5 9.8, 35.3
  No basis to judge 2.3 0.1, 12.0
  Do not know 0.0 0.0, 6.6
K Trading and Markets Strongly agree 48.9 38.2, 59.6
  Somewhat agree 31.9 19.1, 47.1
  Neither agree nor disagree 10.6 3.5, 23.1
  Somewhat disagree 4.3 0.5, 14.5
  Strongly disagree 4.3 0.5, 14.5
  No basis to judge 0.0 0.0, 6.2
  Do not know 0.0 0.0, 6.2
L Enforcement Regional Offices Strongly agree 39.1 29.8, 48.3
  Somewhat agree 33.3 24.4, 42.3
  Neither agree nor disagree 10.3 4.8, 18.7
  Somewhat disagree 8.0 3.3, 15.9
  Strongly disagree 2.3 0.3, 8.1
  No basis to judge 5.7 1.9, 12.9
  Do not know 1.1 0.0, 6.2
M Enforcement Headquarters Strongly agree 36.9 26.9, 47.0
  Somewhat agree 24.6 14.8, 36.9
  Neither agree nor disagree 18.5 9.9, 30.0
  Somewhat disagree 9.2 3.5, 19.0
  Strongly disagree 6.2 1.7, 15.0
  No basis to judge 3.1 0.4, 10.7
  Do not know 1.5 0.0, 8.3
N Compliance Inspections and Examinations Regional Offices Strongly agree 39.7 29.9, 49.6
  Somewhat agree 32.1 22.6, 41.5
  Neither agree nor disagree 14.1 7.3, 23.8
  Somewhat disagree 10.3 4.5, 19.2
  Strongly disagree 2.6 0.3, 9.0
  No basis to judge 0.0 0.0, 3.8
  Do not know 1.3 0.0, 6.9
O Compliance Inspections and Examinations Headquarters Strongly agree 42.9 33.6, 52.1
  Somewhat agree 31.7 20.6, 44.7
  Neither agree nor disagree 11.1 4.6, 21.6
  Somewhat disagree 1.6 0.0, 8.5
  Strongly disagree 6.3 1.8, 15.5
  No basis to judge 4.8 1.0, 13.3
  Do not know 1.6 0.0, 8.5

25f. Discipline

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 21.0 17.9, 24.1
  Somewhat agree 13.2 10.6, 15.7
  Neither agree nor disagree 9.7 7.4, 12.5
  Somewhat disagree 1.9 0.9, 3.5
  Strongly disagree 1.9 0.9, 3.4
  No basis to judge 47.1 43.2, 50.9
  Do not know 5.3 3.6, 7.5
B Entry or Mid-Level Non-Supervisors Strongly agree 20.3 16.8, 23.7
  Somewhat agree 12.0 9.2, 15.4
  Neither agree nor disagree 10.7 8.0, 14.0
  Somewhat disagree 2.0 0.8, 3.8
  Strongly disagree 2.0 0.9, 3.7
  No basis to judge 47.4 43.1, 51.7
  Do not know 5.6 3.7, 8.2
C Supervisors Strongly agree 23.7 16.2, 32.7
  Somewhat agree 17.6 11.1, 25.9
  Neither agree nor disagree 5.9 2.3, 12.0
  Somewhat disagree 1.5 0.1, 7.1
  Strongly disagree 1.6 0.2, 6.0
  No basis to judge 45.7 37.1, 54.4
  Do not know 3.9 1.2, 9.3
D Corporation Finance Strongly agree 8.3 3.1, 17.3
  Somewhat agree 20.8 12.2, 32.0
  Neither agree nor disagree 11.1 4.9, 20.7
  Somewhat disagree 1.4 0.0, 7.5
  Strongly disagree 1.4 0.0, 7.5
  No basis to judge 54.2 44.4, 63.9
  Do not know 2.8 0.3, 9.7
E Division of Economic and Risk Analysis Strongly agree 24.3 11.8, 41.2
  Somewhat agree 16.2 6.2, 32.0
  Neither agree nor disagree 5.4 0.7, 18.2
  Somewhat disagree 0.0 0.0, 7.8
  Strongly disagree 5.4 0.7, 18.2
  No basis to judge 48.6 38.6, 58.7
  Do not know 0.0 0.0, 7.8
F Enforcement Strongly agree 24.1 18.1, 30.1
  Somewhat agree 6.6 3.2, 11.8
  Neither agree nor disagree 7.0 3.5, 12.3
  Somewhat disagree 0.7 0.0, 3.7
  Strongly disagree 0.6 0.0, 3.6
  No basis to judge 52.2 45.2, 59.3
  Do not know 8.7 4.7, 14.4
G Investment Management Strongly agree 15.9 6.6, 30.1
  Somewhat agree 18.2 8.2, 32.7
  Neither agree nor disagree 13.6 5.2, 27.4
  Somewhat disagree 0.0 0.0, 6.6
  Strongly disagree 0.0 0.0, 6.6
  No basis to judge 45.5 35.2, 55.7
  Do not know 6.8 1.4, 18.7
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 0.0 0.0, 12.2
  Strongly disagree 4.3 0.1, 21.9
  No basis to judge . Data Not Reported
  Do not know 8.7 1.1, 28.0
I Compliance Inspections and Examinations Strongly agree 20.7 14.3, 28.3
  Somewhat agree 16.5 10.8, 23.7
  Neither agree nor disagree 10.7 6.1, 17.1
  Somewhat disagree 4.3 1.5, 9.4
  Strongly disagree 1.0 0.0, 4.8
  No basis to judge 42.4 34.3, 50.4
  Do not know 4.4 1.7, 9.2
J Information Technology Strongly agree 18.6 8.4, 33.4
  Somewhat agree 25.6 13.5, 41.2
  Neither agree nor disagree 11.6 3.9, 25.1
  Somewhat disagree 2.3 0.1, 12.3
  Strongly disagree 16.3 6.8, 30.7
  No basis to judge 25.6 13.5, 41.2
  Do not know 0.0 0.0, 6.7
K Trading and Markets Strongly agree 31.9 19.1, 47.1
  Somewhat agree 8.5 2.4, 20.4
  Neither agree nor disagree 10.6 3.5, 23.1
  Somewhat disagree 0.0 0.0, 6.2
  Strongly disagree 2.1 0.1, 11.3
  No basis to judge 46.8 36.1, 57.5
  Do not know 0.0 0.0, 6.2
L Enforcement Regional Offices Strongly agree 21.8 13.7, 32.0
  Somewhat agree 6.9 2.6, 14.4
  Neither agree nor disagree 4.6 1.3, 11.4
  Somewhat disagree 1.1 0.0, 6.2
  Strongly disagree 0.0 0.0, 3.4
  No basis to judge 55.2 45.8, 64.6
  Do not know 10.3 4.8, 18.7
M Enforcement Headquarters Strongly agree 27.7 17.3, 40.2
  Somewhat agree 6.2 1.7, 15.0
  Neither agree nor disagree 10.8 4.4, 20.9
  Somewhat disagree 0.0 0.0, 4.5
  Strongly disagree 1.5 0.0, 8.3
  No basis to judge 47.7 37.3, 58.1
  Do not know 6.2 1.7, 15.0
N Compliance Inspections and Examinations Regional Offices Strongly agree 17.9 10.2, 28.3
  Somewhat agree 16.7 9.2, 26.8
  Neither agree nor disagree 11.5 5.4, 20.8
  Somewhat disagree 5.1 1.4, 12.6
  Strongly disagree 1.3 0.0, 6.9
  No basis to judge 43.6 33.6, 53.6
  Do not know 3.8 0.8, 10.8
O Compliance Inspections and Examinations Headquarters Strongly agree 30.2 19.2, 43.0
  Somewhat agree 15.9 7.9, 27.3
  Neither agree nor disagree 7.9 2.6, 17.6
  Somewhat disagree 1.6 0.0, 8.5
  Strongly disagree 0.0 0.0, 4.6
  No basis to judge 38.1 29.0, 47.2
  Do not know 6.3 1.8, 15.5

25g. Pay

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 25.6 22.2, 29.0
  Somewhat agree 26.5 23.1, 29.9
  Neither agree nor disagree 18.9 15.8, 21.9
  Somewhat disagree 13.2 10.6, 15.9
  Strongly disagree 10.5 8.0, 13.3
  No basis to judge 4.1 2.6, 6.1
  Do not know 1.3 0.5, 2.6
B Entry or Mid-Level Non-Supervisors Strongly agree 22.9 19.2, 26.6
  Somewhat agree 25.7 21.9, 29.4
  Neither agree nor disagree 20.2 16.7, 23.6
  Somewhat disagree 14.3 11.2, 17.4
  Strongly disagree 11.0 8.3, 14.3
  No basis to judge 4.4 2.7, 6.7
  Do not know 1.6 0.7, 3.2
C Supervisors Strongly agree 36.3 27.9, 44.8
  Somewhat agree 29.5 21.5, 37.6
  Neither agree nor disagree 13.8 8.0, 21.6
  Somewhat disagree 9.0 4.4, 15.9
  Strongly disagree 8.3 3.9, 15.1
  No basis to judge 3.0 0.7, 8.2
  Do not know 0.0 0.0, 2.7
D Corporation Finance Strongly agree 19.4 11.1, 30.5
  Somewhat agree 29.2 19.0, 41.1
  Neither agree nor disagree 22.2 13.3, 33.6
  Somewhat disagree 6.9 2.3, 15.5
  Strongly disagree 16.7 8.9, 27.3
  No basis to judge 4.2 0.9, 11.7
  Do not know 1.4 0.0, 7.5
E Division of Economic and Risk Analysis Strongly agree 18.9 8.0, 35.2
  Somewhat agree 16.2 6.2, 32.0
  Neither agree nor disagree . Data Not Reported
  Somewhat disagree 24.3 11.8, 41.2
  Strongly disagree 5.4 0.7, 18.2
  No basis to judge 5.4 0.7, 18.2
  Do not know 2.7 0.1, 14.2
F Enforcement Strongly agree 29.8 23.4, 36.3
  Somewhat agree 21.1 14.9, 28.5
  Neither agree nor disagree 14.8 9.6, 21.5
  Somewhat disagree 17.6 11.9, 24.6
  Strongly disagree 8.8 4.8, 14.5
  No basis to judge 6.0 2.8, 11.1
  Do not know 1.9 0.4, 5.6
G Investment Management Strongly agree 22.7 11.5, 37.8
  Somewhat agree . Data Not Reported
  Neither agree nor disagree 15.9 6.6, 30.1
  Somewhat disagree 6.8 1.4, 18.7
  Strongly disagree 6.8 1.4, 18.7
  No basis to judge 9.1 2.5, 21.7
  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 . Data Not Reported
  No basis to judge 4.3 0.1, 21.9
  Do not know 0.0 0.0, 12.2
I Compliance Inspections and Examinations Strongly agree 25.9 18.6, 33.1
  Somewhat agree 31.1 23.5, 38.6
  Neither agree nor disagree 20.0 13.7, 27.7
  Somewhat disagree 11.6 6.8, 18.1
  Strongly disagree 10.3 5.8, 16.6
  No basis to judge 0.7 0.0, 3.9
  Do not know 0.4 0.0, 3.9
J Information Technology Strongly agree 20.5 9.8, 35.3
  Somewhat agree 22.7 11.5, 37.8
  Neither agree nor disagree 18.2 8.2, 32.7
  Somewhat disagree 13.6 5.2, 27.4
  Strongly disagree 18.2 8.2, 32.7
  No basis to judge 2.3 0.1, 12.0
  Do not know 4.5 0.6, 15.5
K Trading and Markets Strongly agree 19.1 9.1, 33.3
  Somewhat agree 29.8 17.3, 44.9
  Neither agree nor disagree 29.8 17.3, 44.9
  Somewhat disagree 8.5 2.4, 20.4
  Strongly disagree 6.4 1.3, 17.5
  No basis to judge 6.4 1.3, 17.5
  Do not know 0.0 0.0, 6.2
L Enforcement Regional Offices Strongly agree 30.2 21.5, 39.0
  Somewhat agree 19.8 12.0, 29.8
  Neither agree nor disagree 17.4 10.1, 27.1
  Somewhat disagree 14.0 7.4, 23.1
  Strongly disagree 10.5 4.9, 18.9
  No basis to judge 7.0 2.6, 14.6
  Do not know 1.2 0.0, 6.3
M Enforcement Headquarters Strongly agree 29.2 18.6, 41.8
  Somewhat agree 23.1 13.5, 35.2
  Neither agree nor disagree 10.8 4.4, 20.9
  Somewhat disagree 23.1 13.5, 35.2
  Strongly disagree 6.2 1.7, 15.0
  No basis to judge 4.6 1.0, 12.9
  Do not know 3.1 0.4, 10.7
N Compliance Inspections and Examinations Regional Offices Strongly agree 27.3 17.7, 38.6
  Somewhat agree 31.2 21.8, 40.6
  Neither agree nor disagree 22.1 13.4, 33.0
  Somewhat disagree 11.7 5.5, 21.0
  Strongly disagree 7.8 2.9, 16.2
  No basis to judge 0.0 0.0, 3.8
  Do not know 0.0 0.0, 3.8
O Compliance Inspections and Examinations Headquarters Strongly agree 21.0 11.7, 33.2
  Somewhat agree 30.6 19.6, 43.7
  Neither agree nor disagree 12.9 5.7, 23.9
  Somewhat disagree 11.3 4.7, 21.9
  Strongly disagree 19.4 10.4, 31.4
  No basis to judge 3.2 0.4, 11.2
  Do not know 1.6 0.0, 8.7

26. To what extent do you agree or disagree with the following statements regarding SEC's performance management system in place in 2018? (Select one response per item.)

26a. SEC's performance management system uses relevant criteria to evaluate my performance.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 9.5 7.2, 12.3
  Somewhat agree 38.7 34.9, 42.5
  Neither agree nor disagree 18.4 15.4, 21.3
  Somewhat disagree 18.3 15.4, 21.3
  Strongly disagree 11.3 8.9, 13.7
  Do not know 3.7 2.3, 5.7
B Entry or Mid-Level Non-Supervisors Strongly agree 9.1 6.6, 12.2
  Somewhat agree 36.4 32.3, 40.6
  Neither agree nor disagree 21.6 18.1, 25.1
  Somewhat disagree 16.6 13.5, 19.8
  Strongly disagree 11.8 9.0, 15.2
  Do not know 4.4 2.7, 6.7
C Supervisors Strongly agree 11.2 6.0, 18.4
  Somewhat agree 47.5 38.9, 56.1
  Neither agree nor disagree 5.8 2.3, 11.8
  Somewhat disagree 24.9 17.3, 33.9
  Strongly disagree 9.2 4.6, 16.1
  Do not know 1.4 0.1, 5.6
D Corporation Finance Strongly agree 6.9 2.3, 15.5
  Somewhat agree 43.1 33.4, 52.7
  Neither agree nor disagree 19.4 11.1, 30.5
  Somewhat disagree 12.5 5.9, 22.4
  Strongly disagree 11.1 4.9, 20.7
  Do not know 6.9 2.3, 15.5
E Division of Economic and Risk Analysis Strongly agree 16.2 6.2, 32.0
  Somewhat agree . Data Not Reported
  Neither agree nor disagree 10.8 3.0, 25.4
  Somewhat disagree 21.6 9.8, 38.2
  Strongly disagree 10.8 3.0, 25.4
  Do not know 5.4 0.7, 18.2
F Enforcement Strongly agree 10.3 6.0, 16.3
  Somewhat agree 36.3 29.6, 43.1
  Neither agree nor disagree 17.1 11.5, 24.0
  Somewhat disagree 22.3 16.0, 29.7
  Strongly disagree 11.1 6.6, 17.2
  Do not know 2.8 0.8, 6.8
G Investment Management Strongly agree 6.8 1.4, 18.7
  Somewhat agree 47.7 37.5, 58.0
  Neither agree nor disagree 15.9 6.6, 30.1
  Somewhat disagree 20.5 9.8, 35.3
  Strongly disagree 9.1 2.5, 21.7
  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 8.7 1.1, 28.0
  Strongly disagree . Data Not Reported
  Do not know . Data Not Reported
I Compliance Inspections and Examinations Strongly agree 9.0 4.9, 15.0
  Somewhat agree 41.4 33.4, 49.4
  Neither agree nor disagree 18.8 12.7, 26.2
  Somewhat disagree 16.0 10.4, 23.2
  Strongly disagree 12.4 7.5, 19.0
  Do not know 2.3 0.5, 6.5
J Information Technology Strongly agree 11.4 3.8, 24.6
  Somewhat agree 29.5 16.8, 45.2
  Neither agree nor disagree 20.5 9.8, 35.3
  Somewhat disagree 15.9 6.6, 30.1
  Strongly disagree 11.4 3.8, 24.6
  Do not know 11.4 3.8, 24.6
K Trading and Markets Strongly agree 8.5 2.4, 20.4
  Somewhat agree 40.4 26.4, 55.7
  Neither agree nor disagree 19.1 9.1, 33.3
  Somewhat disagree 21.3 10.7, 35.7
  Strongly disagree 8.5 2.4, 20.4
  Do not know 2.1 0.1, 11.3
L Enforcement Regional Offices Strongly agree 9.1 4.0, 17.1
  Somewhat agree 40.9 31.7, 50.2
  Neither agree nor disagree 18.2 10.8, 27.8
  Somewhat disagree 15.9 9.0, 25.2
  Strongly disagree 11.4 5.6, 19.9
  Do not know 4.5 1.3, 11.2
M Enforcement Headquarters Strongly agree 12.3 5.5, 22.8
  Somewhat agree 29.2 18.6, 41.8
  Neither agree nor disagree 15.4 7.6, 26.5
  Somewhat disagree 32.3 21.2, 45.1
  Strongly disagree 10.8 4.4, 20.9
  Do not know 0.0 0.0, 4.5
N Compliance Inspections and Examinations Regional Offices Strongly agree 8.9 3.6, 17.4
  Somewhat agree 43.0 33.1, 53.0
  Neither agree nor disagree 17.7 10.0, 27.9
  Somewhat disagree 16.5 9.1, 26.5
  Strongly disagree 11.4 5.3, 20.5
  Do not know 2.5 0.3, 8.8
O Compliance Inspections and Examinations Headquarters Strongly agree 9.7 3.6, 19.9
  Somewhat agree 35.5 23.7, 48.7
  Neither agree nor disagree 22.6 12.9, 35.0
  Somewhat disagree 14.5 6.9, 25.8
  Strongly disagree 16.1 8.0, 27.7
  Do not know 1.6 0.0, 8.7

26b. SEC's performance management system allows supervisors and managers to have a meaningful discussion with their staff on how they are performing.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 9.7 7.4, 12.4
  Somewhat agree 37.9 34.1, 41.6
  Neither agree nor disagree 21.3 18.1, 24.4
  Somewhat disagree 16.2 13.3, 19.0
  Strongly disagree 11.5 9.0, 14.0
  Do not know 3.5 2.2, 5.4
B Entry or Mid-Level Non-Supervisors Strongly agree 9.6 7.0, 12.7
  Somewhat agree 36.3 32.2, 40.4
  Neither agree nor disagree 22.3 18.7, 25.9
  Somewhat disagree 16.2 13.0, 19.3
  Strongly disagree 11.3 8.5, 14.6
  Do not know 4.3 2.6, 6.6
C Supervisors Strongly agree 10.0 5.1, 17.1
  Somewhat agree 43.9 35.4, 52.5
  Neither agree nor disagree 17.1 10.6, 25.3
  Somewhat disagree 16.2 10.0, 24.3
  Strongly disagree 12.2 6.8, 19.7
  Do not know 0.6 0.0, 4.8
D Corporation Finance Strongly agree 5.6 1.5, 13.6
  Somewhat agree 52.8 43.0, 62.5
  Neither agree nor disagree 15.3 7.9, 25.7
  Somewhat disagree 9.7 4.0, 19.0
  Strongly disagree 12.5 5.9, 22.4
  Do not know 4.2 0.9, 11.7
E Division of Economic and Risk Analysis Strongly agree 18.9 8.0, 35.2
  Somewhat agree . Data Not Reported
  Neither agree nor disagree 13.5 4.5, 28.8
  Somewhat disagree 13.5 4.5, 28.8
  Strongly disagree 10.8 3.0, 25.4
  Do not know 8.1 1.7, 21.9
F Enforcement Strongly agree 11.7 7.1, 17.9
  Somewhat agree 31.6 25.0, 38.1
  Neither agree nor disagree 23.0 16.6, 30.4
  Somewhat disagree 20.5 14.4, 27.8
  Strongly disagree 11.1 6.6, 17.2
  Do not know 2.1 0.5, 5.8
G Investment Management Strongly agree 11.4 3.8, 24.6
  Somewhat agree 47.7 37.5, 58.0
  Neither agree nor disagree 22.7 11.5, 37.8
  Somewhat disagree 11.4 3.8, 24.6
  Strongly disagree 6.8 1.4, 18.7
  Do not know 0.0 0.0, 6.6
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 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 6.5 3.0, 11.9
  Somewhat agree 39.3 31.4, 47.3
  Neither agree nor disagree 21.5 15.0, 29.2
  Somewhat disagree 14.8 9.4, 21.8
  Strongly disagree 13.8 8.6, 20.7
  Do not know 4.0 1.5, 8.8
J Information Technology Strongly agree 13.6 5.2, 27.4
  Somewhat agree 29.5 16.8, 45.2
  Neither agree nor disagree 22.7 11.5, 37.8
  Somewhat disagree 18.2 8.2, 32.7
  Strongly disagree 9.1 2.5, 21.7
  Do not know 6.8 1.4, 18.7
K Trading and Markets Strongly agree 14.9 6.2, 28.3
  Somewhat agree 36.2 22.7, 51.5
  Neither agree nor disagree 19.1 9.1, 33.3
  Somewhat disagree 19.1 9.1, 33.3
  Strongly disagree 8.5 2.4, 20.4
  Do not know 2.1 0.1, 11.3
L Enforcement Regional Offices Strongly agree 11.4 5.6, 19.9
  Somewhat agree 34.1 25.2, 43.0
  Neither agree nor disagree 23.9 15.4, 34.1
  Somewhat disagree 15.9 9.0, 25.2
  Strongly disagree 11.4 5.6, 19.9
  Do not know 3.4 0.7, 9.6
M Enforcement Headquarters Strongly agree 12.3 5.5, 22.8
  Somewhat agree 27.7 17.3, 40.2
  Neither agree nor disagree 21.5 12.3, 33.5
  Somewhat disagree 27.7 17.3, 40.2
  Strongly disagree 10.8 4.4, 20.9
  Do not know 0.0 0.0, 4.5
N Compliance Inspections and Examinations Regional Offices Strongly agree 5.1 1.4, 12.6
  Somewhat agree 41.0 31.1, 50.9
  Neither agree nor disagree 23.1 14.3, 34.0
  Somewhat disagree 14.1 7.3, 23.8
  Strongly disagree 12.8 6.3, 22.3
  Do not know 3.8 0.8, 10.8
O Compliance Inspections and Examinations Headquarters Strongly agree 11.1 4.6, 21.6
  Somewhat agree 33.3 22.0, 46.3
  Neither agree nor disagree 15.9 7.9, 27.3
  Somewhat disagree 17.5 9.1, 29.1
  Strongly disagree 17.5 9.1, 29.1
  Do not know 4.8 1.0, 13.3

26c. SEC's performance management system provides consistent standards for rewarding performance.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 7.3 5.3, 9.8
  Somewhat agree 23.2 19.9, 26.5
  Neither agree nor disagree 21.4 18.2, 24.5
  Somewhat disagree 22.6 19.4, 25.9
  Strongly disagree 19.3 16.2, 22.4
  Do not know 6.1 4.3, 8.5
B Entry or Mid-Level Non-Supervisors Strongly agree 6.9 4.7, 9.6
  Somewhat agree 22.0 18.3, 25.6
  Neither agree nor disagree 20.9 17.4, 24.3
  Somewhat disagree 22.6 18.9, 26.2
  Strongly disagree 20.4 16.9, 23.9
  Do not know 7.3 5.1, 10.2
C Supervisors Strongly agree 9.2 4.5, 16.1
  Somewhat agree 28.0 20.3, 35.7
  Neither agree nor disagree 23.4 15.9, 32.3
  Somewhat disagree 23.0 15.6, 31.8
  Strongly disagree 15.1 9.0, 23.0
  Do not know 1.4 0.1, 5.7
D Corporation Finance Strongly agree 6.9 2.3, 15.5
  Somewhat agree 23.6 14.4, 35.1
  Neither agree nor disagree 20.8 12.2, 32.0
  Somewhat disagree 20.8 12.2, 32.0
  Strongly disagree 18.1 10.0, 28.9
  Do not know 9.7 4.0, 19.0
E Division of Economic and Risk Analysis Strongly agree 16.2 6.2, 32.0
  Somewhat agree 8.1 1.7, 21.9
  Neither agree nor disagree . Data Not Reported
  Somewhat disagree 21.6 9.8, 38.2
  Strongly disagree 16.2 6.2, 32.0
  Do not know 8.1 1.7, 21.9
F Enforcement Strongly agree 8.0 4.2, 13.6
  Somewhat agree 27.1 20.8, 33.4
  Neither agree nor disagree 14.6 9.4, 21.3
  Somewhat disagree 26.4 20.2, 32.6
  Strongly disagree 19.8 13.8, 27.1
  Do not know 4.0 1.5, 8.5
G Investment Management Strongly agree 6.8 1.4, 18.7
  Somewhat agree 18.2 8.2, 32.7
  Neither agree nor disagree 31.8 18.6, 47.6
  Somewhat disagree 27.3 15.0, 42.8
  Strongly disagree 13.6 5.2, 27.4
  Do not know 2.3 0.1, 12.0
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 . Data Not Reported
  Somewhat disagree 9.1 1.1, 29.2
  Strongly disagree . Data Not Reported
  Do not know 9.1 1.1, 29.2
I Compliance Inspections and Examinations Strongly agree 5.4 2.2, 10.9
  Somewhat agree 22.5 15.8, 30.3
  Neither agree nor disagree 25.8 18.7, 33.0
  Somewhat disagree 19.7 13.4, 27.2
  Strongly disagree 20.7 14.4, 28.4
  Do not know 5.9 2.6, 11.1
J Information Technology Strongly agree 2.3 0.1, 12.0
  Somewhat agree 18.2 8.2, 32.7
  Neither agree nor disagree 29.5 16.8, 45.2
  Somewhat disagree 20.5 9.8, 35.3
  Strongly disagree 18.2 8.2, 32.7
  Do not know 11.4 3.8, 24.6
K Trading and Markets Strongly agree 12.8 4.8, 25.7
  Somewhat agree 17.0 7.6, 30.8
  Neither agree nor disagree 19.1 9.1, 33.3
  Somewhat disagree 23.4 12.3, 38.0
  Strongly disagree 19.1 9.1, 33.3
  Do not know 8.5 2.4, 20.4
L Enforcement Regional Offices Strongly agree 9.2 4.1, 17.3
  Somewhat agree 26.4 17.6, 37.0
  Neither agree nor disagree 14.9 8.2, 24.2
  Somewhat disagree 25.3 16.6, 35.7
  Strongly disagree 19.5 11.8, 29.4
  Do not know 4.6 1.3, 11.4
M Enforcement Headquarters Strongly agree 6.2 1.7, 15.2
  Somewhat agree 28.1 17.6, 40.8
  Neither agree nor disagree 14.1 6.6, 25.0
  Somewhat disagree 28.1 17.6, 40.8
  Strongly disagree 20.3 11.3, 32.2
  Do not know 3.1 0.4, 10.8
N Compliance Inspections and Examinations Regional Offices Strongly agree 6.5 2.1, 14.5
  Somewhat agree 22.1 13.4, 33.0
  Neither agree nor disagree 26.0 16.6, 37.2
  Somewhat disagree 20.8 12.4, 31.5
  Strongly disagree 20.8 12.4, 31.5
  Do not know 3.9 0.8, 11.0
O Compliance Inspections and Examinations Headquarters Strongly agree 1.6 0.0, 8.5
  Somewhat agree 23.8 14.0, 36.2
  Neither agree nor disagree 25.4 15.3, 37.9
  Somewhat disagree 15.9 7.9, 27.3
  Strongly disagree 20.6 11.5, 32.7
  Do not know 12.7 5.6, 23.5

26d. Changes need to be made to increase transparency in the process used to rate my performance.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 15.4 12.6, 18.2
  Somewhat agree 26.5 23.1, 29.9
  Neither agree nor disagree 34.0 30.3, 37.7
  Somewhat disagree 13.3 10.8, 15.9
  Strongly disagree 5.3 3.6, 7.5
  Do not know 5.5 3.8, 7.7
B Entry or Mid-Level Non-Supervisors Strongly agree 16.6 13.5, 19.8
  Somewhat agree 26.4 22.6, 30.2
  Neither agree nor disagree 32.6 28.6, 36.7
  Somewhat disagree 13.3 10.2, 16.8
  Strongly disagree 5.1 3.2, 7.5
  Do not know 6.0 4.0, 8.6
C Supervisors Strongly agree 10.5 5.5, 17.7
  Somewhat agree 26.6 18.7, 35.8
  Neither agree nor disagree 39.3 30.8, 47.9
  Somewhat disagree 13.7 7.9, 21.5
  Strongly disagree 6.3 2.6, 12.5
  Do not know 3.6 1.0, 8.9
D Corporation Finance Strongly agree 19.4 11.1, 30.5
  Somewhat agree 23.6 14.4, 35.1
  Neither agree nor disagree 27.8 17.9, 39.6
  Somewhat disagree 11.1 4.9, 20.7
  Strongly disagree 9.7 4.0, 19.0
  Do not know 8.3 3.1, 17.3
E Division of Economic and Risk Analysis Strongly agree 24.3 11.8, 41.2
  Somewhat agree 21.6 9.8, 38.2
  Neither agree nor disagree . Data Not Reported
  Somewhat disagree 8.1 1.7, 21.9
  Strongly disagree 5.4 0.7, 18.2
  Do not know 2.7 0.1, 14.2
F Enforcement Strongly agree 10.4 6.1, 16.4
  Somewhat agree 31.3 24.8, 37.7
  Neither agree nor disagree 37.2 30.4, 44.0
  Somewhat disagree 11.9 7.2, 18.1
  Strongly disagree 5.9 2.7, 10.9
  Do not know 3.3 1.1, 7.5
G Investment Management Strongly agree 11.4 3.8, 24.6
  Somewhat agree 43.2 33.0, 53.3
  Neither agree nor disagree 20.5 9.8, 35.3
  Somewhat disagree 18.2 8.2, 32.7
  Strongly disagree 6.8 1.4, 18.7
  Do not know 0.0 0.0, 6.6
H Office of the Chief Accountant and Office of Credit Ratings Strongly agree 4.5 0.1, 22.8
  Somewhat agree . Data Not Reported
  Neither agree nor disagree . Data Not Reported
  Somewhat disagree . Data Not Reported
  Strongly disagree 4.5 0.1, 22.8
  Do not know . Data Not Reported
I Compliance Inspections and Examinations Strongly agree 17.8 11.8, 25.2
  Somewhat agree 23.6 16.9, 31.5
  Neither agree nor disagree 34.3 26.6, 42.1
  Somewhat disagree 13.6 8.4, 20.3
  Strongly disagree 3.7 1.2, 8.3
  Do not know 7.0 3.4, 12.7
J Information Technology Strongly agree 23.3 11.8, 38.6
  Somewhat agree 14.0 5.3, 27.9
  Neither agree nor disagree . Data Not Reported
  Somewhat disagree 11.6 3.9, 25.1
  Strongly disagree 0.0 0.0, 6.7
  Do not know 9.3 2.6, 22.1
K Trading and Markets Strongly agree 19.6 9.4, 33.9
  Somewhat agree 21.7 10.9, 36.4
  Neither agree nor disagree 28.3 16.0, 43.5
  Somewhat disagree 21.7 10.9, 36.4
  Strongly disagree 4.3 0.5, 14.8
  Do not know 4.3 0.5, 14.8
L Enforcement Regional Offices Strongly agree 9.2 4.1, 17.3
  Somewhat agree 27.6 18.5, 38.2
  Neither agree nor disagree 41.4 32.1, 50.7
  Somewhat disagree 12.6 6.5, 21.5
  Strongly disagree 5.7 1.9, 12.9
  Do not know 3.4 0.7, 9.7
M Enforcement Headquarters Strongly agree 12.3 5.5, 22.8
  Somewhat agree 36.9 26.9, 47.0
  Neither agree nor disagree 30.8 19.9, 43.4
  Somewhat disagree 10.8 4.4, 20.9
  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 19.2 11.2, 29.7
  Somewhat agree 23.1 14.3, 34.0
  Neither agree nor disagree 34.6 25.0, 44.2
  Somewhat disagree 11.5 5.4, 20.8
  Strongly disagree 3.8 0.8, 10.8
  Do not know 7.7 2.9, 16.0
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 33.3 22.0, 46.3
  Somewhat disagree 20.6 11.5, 32.7
  Strongly disagree 3.2 0.4, 11.0
  Do not know 4.8 1.0, 13.3

26e. Calibration of performance ratings by management improves fairness in the performance management system.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 5.5 3.8, 7.8
  Somewhat agree 19.7 16.5, 22.8
  Neither agree nor disagree 23.2 20.0, 26.5
  Somewhat disagree 13.4 10.8, 16.1
  Strongly disagree 12.0 9.5, 14.6
  Do not know 26.0 22.7, 29.4
B Entry or Mid-Level Non-Supervisors Strongly agree 5.0 3.2, 7.5
  Somewhat agree 15.7 12.5, 18.9
  Neither agree nor disagree 26.1 22.3, 29.9
  Somewhat disagree 11.7 8.8, 15.0
  Strongly disagree 11.5 8.7, 14.8
  Do not know 30.0 26.1, 33.9
C Supervisors Strongly agree 7.6 3.4, 14.1
  Somewhat agree 35.3 27.0, 43.6
  Neither agree nor disagree 12.0 6.6, 19.5
  Somewhat disagree 20.3 13.3, 29.0
  Strongly disagree 14.2 8.3, 22.0
  Do not know 10.7 5.6, 17.9
D Corporation Finance Strongly agree 8.5 3.2, 17.5
  Somewhat agree 22.5 13.5, 34.0
  Neither agree nor disagree 14.1 7.0, 24.4
  Somewhat disagree 11.3 5.0, 21.0
  Strongly disagree 15.5 8.0, 26.0
  Do not know 28.2 18.1, 40.1
E Division of Economic and Risk Analysis Strongly agree 5.4 0.7, 18.2
  Somewhat agree 24.3 11.8, 41.2
  Neither agree nor disagree 13.5 4.5, 28.8
  Somewhat disagree 5.4 0.7, 18.2
  Strongly disagree 10.8 3.0, 25.4
  Do not know . Data Not Reported
F Enforcement Strongly agree 3.4 1.1, 7.7
  Somewhat agree 17.2 11.6, 24.2
  Neither agree nor disagree 21.4 15.1, 28.8
  Somewhat disagree 15.5 10.1, 22.3
  Strongly disagree 10.0 5.7, 15.9
  Do not know 32.5 25.9, 39.2
G Investment Management Strongly agree 13.6 5.2, 27.4
  Somewhat agree 20.5 9.8, 35.3
  Neither agree nor disagree 20.5 9.8, 35.3
  Somewhat disagree 13.6 5.2, 27.4
  Strongly disagree 6.8 1.4, 18.7
  Do not know 25.0 13.2, 40.3
H Office of the Chief Accountant and Office of Credit Ratings Strongly agree 8.7 1.1, 28.0
  Somewhat agree 8.7 1.1, 28.0
  Neither agree nor disagree . Data Not Reported
  Somewhat disagree . Data Not Reported
  Strongly disagree 4.3 0.1, 21.9
  Do not know . Data Not Reported
I Compliance Inspections and Examinations Strongly agree 4.0 1.5, 8.8
  Somewhat agree 24.9 18.0, 31.9
  Neither agree nor disagree 27.5 20.2, 34.9
  Somewhat disagree 11.7 6.9, 18.3
  Strongly disagree 14.1 8.9, 21.0
  Do not know 17.6 11.7, 24.9
J Information Technology Strongly agree 9.3 2.6, 22.1
  Somewhat agree 7.0 1.5, 19.1
  Neither agree nor disagree 30.2 17.2, 46.1
  Somewhat disagree 20.9 10.0, 36.0
  Strongly disagree 16.3 6.8, 30.7
  Do not know 16.3 6.8, 30.7
K Trading and Markets Strongly agree 8.7 2.4, 20.8
  Somewhat agree 13.0 4.9, 26.3
  Neither agree nor disagree 28.3 16.0, 43.5
  Somewhat disagree 13.0 4.9, 26.3
  Strongly disagree 10.9 3.6, 23.6
  Do not know 26.1 14.3, 41.1
L Enforcement Regional Offices Strongly agree 4.6 1.3, 11.4
  Somewhat agree 17.2 10.0, 26.8
  Neither agree nor disagree 16.1 9.1, 25.5
  Somewhat disagree 18.4 10.9, 28.1
  Strongly disagree 10.3 4.8, 18.7
  Do not know 33.3 24.4, 42.3
M Enforcement Headquarters Strongly agree 1.6 0.0, 8.4
  Somewhat agree 17.2 8.9, 28.7
  Neither agree nor disagree 29.7 18.9, 42.4
  Somewhat disagree 10.9 4.5, 21.2
  Strongly disagree 9.4 3.5, 19.3
  Do not know 31.3 20.2, 44.1
N Compliance Inspections and Examinations Regional Offices Strongly agree 3.8 0.8, 10.8
  Somewhat agree 24.4 15.3, 35.4
  Neither agree nor disagree 29.5 19.7, 40.9
  Somewhat disagree 12.8 6.3, 22.3
  Strongly disagree 14.1 7.3, 23.8
  Do not know 15.4 8.2, 25.3
O Compliance Inspections and Examinations Headquarters Strongly agree 4.8 1.0, 13.3
  Somewhat agree 27.0 16.6, 39.7
  Neither agree nor disagree 20.6 11.5, 32.7
  Somewhat disagree 7.9 2.6, 17.6
  Strongly disagree 14.3 6.7, 25.4
  Do not know 25.4 15.3, 37.9

26f. Employee performance appraisals are fair and appropriate under SEC's performance management system.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 8.8 6.5, 11.4
  Somewhat agree 31.7 28.1, 35.4
  Neither agree nor disagree 20.9 17.8, 24.0
  Somewhat disagree 13.2 10.5, 15.9
  Strongly disagree 11.4 8.9, 13.8
  Do not know 14.1 11.5, 16.7
B Entry or Mid-Level Non-Supervisors Strongly agree 8.0 5.6, 10.9
  Somewhat agree 29.4 25.4, 33.4
  Neither agree nor disagree 21.3 17.8, 24.8
  Somewhat disagree 13.2 10.2, 16.7
  Strongly disagree 11.1 8.3, 14.4
  Do not know 17.1 13.9, 20.2
C Supervisors Strongly agree 11.8 6.5, 19.3
  Somewhat agree 41.1 32.6, 49.6
  Neither agree nor disagree 19.3 12.4, 27.9
  Somewhat disagree 12.9 7.2, 20.9
  Strongly disagree 12.6 7.0, 20.2
  Do not know 2.3 0.4, 7.1
D Corporation Finance Strongly agree 7.1 2.4, 15.9
  Somewhat agree 31.4 20.9, 43.6
  Neither agree nor disagree 20.0 11.4, 31.3
  Somewhat disagree 14.3 7.1, 24.7
  Strongly disagree 11.4 5.1, 21.3
  Do not know 15.7 8.1, 26.4
E Division of Economic and Risk Analysis Strongly agree 8.1 1.7, 21.9
  Somewhat agree . Data Not Reported
  Neither agree nor disagree 21.6 9.8, 38.2
  Somewhat disagree 8.1 1.7, 21.9
  Strongly disagree 8.1 1.7, 21.9
  Do not know . Data Not Reported
F Enforcement Strongly agree 11.1 6.6, 17.2
  Somewhat agree 30.4 24.0, 36.9
  Neither agree nor disagree 19.3 13.3, 26.4
  Somewhat disagree 13.2 8.3, 19.6
  Strongly disagree 12.4 7.7, 18.7
  Do not know 13.5 8.5, 20.0
G Investment Management Strongly agree 11.4 3.8, 24.6
  Somewhat agree 31.8 18.6, 47.6
  Neither agree nor disagree 15.9 6.6, 30.1
  Somewhat disagree 13.6 5.2, 27.4
  Strongly disagree 4.5 0.6, 15.5
  Do not know 22.7 11.5, 37.8
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 0.0 0.0, 12.2
  Strongly disagree . Data Not Reported
  Do not know . Data Not Reported
I Compliance Inspections and Examinations Strongly agree 6.1 2.8, 11.5
  Somewhat agree 35.8 28.0, 43.7
  Neither agree nor disagree 22.2 15.6, 30.1
  Somewhat disagree 14.3 8.9, 21.3
  Strongly disagree 10.6 6.0, 16.9
  Do not know 10.9 6.3, 17.4
J Information Technology Strongly agree 7.0 1.5, 19.1
  Somewhat agree 20.9 10.0, 36.0
  Neither agree nor disagree 27.9 15.3, 43.7
  Somewhat disagree 20.9 10.0, 36.0
  Strongly disagree 9.3 2.6, 22.1
  Do not know 14.0 5.3, 27.9
K Trading and Markets Strongly agree 10.9 3.6, 23.6
  Somewhat agree 34.8 21.4, 50.2
  Neither agree nor disagree 19.6 9.4, 33.9
  Somewhat disagree 6.5 1.4, 17.9
  Strongly disagree 15.2 6.3, 28.9
  Do not know 13.0 4.9, 26.3
L Enforcement Regional Offices Strongly agree 11.4 5.6, 19.9
  Somewhat agree 27.3 18.3, 37.8
  Neither agree nor disagree 22.7 14.5, 32.9
  Somewhat disagree 14.8 8.1, 23.9
  Strongly disagree 12.5 6.4, 21.3
  Do not know 11.4 5.6, 19.9
M Enforcement Headquarters Strongly agree 10.8 4.4, 20.9
  Somewhat agree 35.4 25.4, 45.3
  Neither agree nor disagree 13.8 6.5, 24.7
  Somewhat disagree 10.8 4.4, 20.9
  Strongly disagree 12.3 5.5, 22.8
  Do not know 16.9 8.8, 28.3
N Compliance Inspections and Examinations Regional Offices Strongly agree 6.5 2.1, 14.5
  Somewhat agree 36.4 26.6, 46.1
  Neither agree nor disagree 20.8 12.4, 31.5
  Somewhat disagree 15.6 8.3, 25.6
  Strongly disagree 10.4 4.6, 19.4
  Do not know 10.4 4.6, 19.4
O Compliance Inspections and Examinations Headquarters Strongly agree 4.8 1.0, 13.5
  Somewhat agree 33.9 22.3, 47.0
  Neither agree nor disagree 27.4 16.9, 40.2
  Somewhat disagree 9.7 3.6, 19.9
  Strongly disagree 11.3 4.7, 21.9
  Do not know 12.9 5.7, 23.9

26g. SEC's performance management system creates meaningful distinctions between employee performances.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 2.5 1.4, 4.1
  Somewhat agree 15.4 12.5, 18.2
  Neither agree nor disagree 17.3 14.3, 20.2
  Somewhat disagree 23.7 20.4, 27.0
  Strongly disagree 24.4 21.1, 27.6
  Do not know 16.8 13.9, 19.7
B Entry or Mid-Level Non-Supervisors Strongly agree 2.9 1.6, 5.0
  Somewhat agree 12.3 9.4, 15.7
  Neither agree nor disagree 18.8 15.4, 22.1
  Somewhat disagree 23.1 19.5, 26.8
  Strongly disagree 22.1 18.5, 25.6
  Do not know 20.8 17.3, 24.3
C Supervisors Strongly agree 0.7 0.0, 4.9
  Somewhat agree 27.3 19.3, 36.6
  Neither agree nor disagree 11.4 6.2, 18.8
  Somewhat disagree 25.8 18.0, 35.0
  Strongly disagree 33.3 25.3, 41.4
  Do not know 1.4 0.1, 5.7
D Corporation Finance Strongly agree 2.8 0.3, 9.7
  Somewhat agree 13.9 6.9, 24.1
  Neither agree nor disagree 13.9 6.9, 24.1
  Somewhat disagree 25.0 15.5, 36.6
  Strongly disagree 25.0 15.5, 36.6
  Do not know 19.4 11.1, 30.5
E Division of Economic and Risk Analysis Strongly agree 5.4 0.7, 18.2
  Somewhat agree 8.1 1.7, 21.9
  Neither agree nor disagree 16.2 6.2, 32.0
  Somewhat disagree . Data Not Reported
  Strongly disagree 21.6 9.8, 38.2
  Do not know 18.9 8.0, 35.2
F Enforcement Strongly agree 2.5 0.7, 6.4
  Somewhat agree 10.9 6.5, 17.0
  Neither agree nor disagree 13.8 8.8, 20.3
  Somewhat disagree 27.4 21.2, 33.7
  Strongly disagree 28.0 21.7, 34.3
  Do not know 17.3 11.6, 24.2
G Investment Management Strongly agree 0.0 0.0, 6.6
  Somewhat agree 20.5 9.8, 35.3
  Neither agree nor disagree 11.4 3.8, 24.6
  Somewhat disagree 29.5 16.8, 45.2
  Strongly disagree 22.7 11.5, 37.8
  Do not know 15.9 6.6, 30.1
H Office of the Chief Accountant and Office of Credit Ratings Strongly agree 0.0 0.0, 12.2
  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 . Data Not Reported
I Compliance Inspections and Examinations Strongly agree 1.4 0.2, 5.0
  Somewhat agree 22.1 15.5, 30.0
  Neither agree nor disagree 22.6 15.9, 30.5
  Somewhat disagree 18.7 12.6, 26.2
  Strongly disagree 19.9 13.6, 27.5
  Do not know 15.3 9.7, 22.4
J Information Technology Strongly agree 4.7 0.6, 15.8
  Somewhat agree 16.3 6.8, 30.7
  Neither agree nor disagree 32.6 19.1, 48.5
  Somewhat disagree 18.6 8.4, 33.4
  Strongly disagree 20.9 10.0, 36.0
  Do not know 7.0 1.5, 19.1
K Trading and Markets Strongly agree 6.5 1.4, 17.9
  Somewhat agree 6.5 1.4, 17.9
  Neither agree nor disagree 13.0 4.9, 26.3
  Somewhat disagree 23.9 12.6, 38.8
  Strongly disagree 28.3 16.0, 43.5
  Do not know 21.7 10.9, 36.4
L Enforcement Regional Offices Strongly agree 1.1 0.0, 6.2
  Somewhat agree 9.1 4.0, 17.1
  Neither agree nor disagree 14.8 8.1, 23.9
  Somewhat disagree 27.3 18.3, 37.8
  Strongly disagree 27.3 18.3, 37.8
  Do not know 20.5 12.6, 30.4
M Enforcement Headquarters Strongly agree 4.6 1.0, 12.9
  Somewhat agree 13.8 6.5, 24.7
  Neither agree nor disagree 12.3 5.5, 22.8
  Somewhat disagree 27.7 17.3, 40.2
  Strongly disagree 29.2 18.6, 41.8
  Do not know 12.3 5.5, 22.8
N Compliance Inspections and Examinations Regional Offices Strongly agree 1.3 0.0, 7.2
  Somewhat agree 24.0 14.9, 35.3
  Neither agree nor disagree 22.7 13.8, 33.8
  Somewhat disagree 20.0 11.6, 30.8
  Strongly disagree 17.3 9.6, 27.8
  Do not know 14.7 7.6, 24.7
O Compliance Inspections and Examinations Headquarters Strongly agree 1.6 0.0, 8.5
  Somewhat agree 15.9 7.9, 27.3
  Neither agree nor disagree 22.2 12.7, 34.5
  Somewhat disagree 14.3 6.7, 25.4
  Strongly disagree 28.6 17.9, 41.3
  Do not know 17.5 9.1, 29.1

27. If there are any other issues, details, or information concerning performance management and promotions at the SEC that you would like us to know about, please use the space below to provide this information.

data intentionally not reported


Section 5 - Organizational Culture and Climate

Notes on terms used in Section 5:

(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 and managers" refers to those persons above you in the chain of command who are Assistant Directors or Associate Directors.

28. To what extent do you agree or disagree with the following statements regarding different aspects of organizational culture and climate within your division/office? (Select one response per item.)

28a. There is an atmosphere of trust in my division/office.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 22.8 19.5, 26.1
  Somewhat agree 40.4 36.6, 44.1
  Neither agree nor disagree 12.1 9.7, 14.6
  Somewhat disagree 14.5 11.8, 17.2
  Strongly disagree 9.7 7.4, 12.4
  Do not know 0.5 0.1, 1.5
B Entry or Mid-Level Non-Supervisors Strongly agree 22.0 18.3, 25.6
  Somewhat agree 39.7 35.5, 43.9
  Neither agree nor disagree 13.2 10.2, 16.7
  Somewhat disagree 14.0 11.0, 17.0
  Strongly disagree 10.5 7.8, 13.7
  Do not know 0.6 0.1, 1.9
C Supervisors Strongly agree 26.1 18.3, 35.2
  Somewhat agree 42.9 34.3, 51.5
  Neither agree nor disagree 7.7 3.5, 14.3
  Somewhat disagree 16.6 10.3, 24.8
  Strongly disagree 6.6 2.8, 12.9
  Do not know 0.0 0.0, 2.6
D Corporation Finance Strongly agree 15.3 7.9, 25.7
  Somewhat agree 34.7 25.4, 44.0
  Neither agree nor disagree 9.7 4.0, 19.0
  Somewhat disagree 19.4 11.1, 30.5
  Strongly disagree 18.1 10.0, 28.9
  Do not know 2.8 0.3, 9.7
E Division of Economic and Risk Analysis Strongly agree . Data Not Reported
  Somewhat agree 18.9 8.0, 35.2
  Neither agree nor disagree 13.5 4.5, 28.8
  Somewhat disagree 16.2 6.2, 32.0
  Strongly disagree 24.3 11.8, 41.2
  Do not know 0.0 0.0, 7.8
F Enforcement Strongly agree 25.3 19.2, 31.3
  Somewhat agree 40.8 33.9, 47.7
  Neither agree nor disagree 14.1 9.0, 20.7
  Somewhat disagree 14.3 9.2, 20.9
  Strongly disagree 5.4 2.4, 10.3
  Do not know 0.0 0.0, 1.9
G Investment Management Strongly agree 14.0 5.3, 27.9
  Somewhat agree 69.8 53.9, 82.8
  Neither agree nor disagree 11.6 3.9, 25.1
  Somewhat disagree 0.0 0.0, 6.7
  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 26.6 19.5, 33.8
  Somewhat agree 39.9 31.9, 47.9
  Neither agree nor disagree 11.6 6.8, 18.0
  Somewhat disagree 14.1 8.9, 21.0
  Strongly disagree 7.7 3.9, 13.5
  Do not know 0.0 0.0, 2.1
J Information Technology Strongly agree 13.6 5.2, 27.4
  Somewhat agree 27.3 15.0, 42.8
  Neither agree nor disagree 13.6 5.2, 27.4
  Somewhat disagree 22.7 11.5, 37.8
  Strongly disagree 22.7 11.5, 37.8
  Do not know 0.0 0.0, 6.6
K Trading and Markets Strongly agree 12.8 4.8, 25.7
  Somewhat agree 59.6 44.3, 73.6
  Neither agree nor disagree 6.4 1.3, 17.5
  Somewhat disagree 8.5 2.4, 20.4
  Strongly disagree 10.6 3.5, 23.1
  Do not know 2.1 0.1, 11.3
L Enforcement Regional Offices Strongly agree 22.7 14.5, 32.9
  Somewhat agree 44.3 35.0, 53.7
  Neither agree nor disagree 11.4 5.6, 19.9
  Somewhat disagree 13.6 7.2, 22.6
  Strongly disagree 8.0 3.3, 15.7
  Do not know 0.0 0.0, 3.3
M Enforcement Headquarters Strongly agree 29.2 18.6, 41.8
  Somewhat agree 35.4 25.4, 45.3
  Neither agree nor disagree 18.5 9.9, 30.0
  Somewhat disagree 15.4 7.6, 26.5
  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 25.6 16.4, 36.8
  Somewhat agree 43.6 33.6, 53.6
  Neither agree nor disagree 9.0 3.7, 17.6
  Somewhat disagree 14.1 7.3, 23.8
  Strongly disagree 7.7 2.9, 16.0
  Do not know 0.0 0.0, 3.8
O Compliance Inspections and Examinations Headquarters Strongly agree 30.2 19.2, 43.0
  Somewhat agree 27.0 16.6, 39.7
  Neither agree nor disagree 20.6 11.5, 32.7
  Somewhat disagree 14.3 6.7, 25.4
  Strongly disagree 7.9 2.6, 17.6
  Do not know 0.0 0.0, 4.6

28b. Employee morale is generally high most of the time.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 13.7 11.0, 16.3
  Somewhat agree 33.2 29.6, 36.9
  Neither agree nor disagree 14.7 12.0, 17.5
  Somewhat disagree 22.8 19.5, 26.0
  Strongly disagree 14.3 11.8, 16.8
  Do not know 1.3 0.5, 2.6
B Entry or Mid-Level Non-Supervisors Strongly agree 12.8 9.8, 16.2
  Somewhat agree 32.8 28.7, 36.9
  Neither agree nor disagree 14.1 11.1, 17.1
  Somewhat disagree 23.2 19.5, 26.9
  Strongly disagree 15.5 12.6, 18.3
  Do not know 1.6 0.7, 3.3
C Supervisors Strongly agree 17.0 10.6, 25.2
  Somewhat agree 34.9 26.6, 43.1
  Neither agree nor disagree 17.2 10.8, 25.5
  Somewhat disagree 21.1 14.0, 29.8
  Strongly disagree 9.8 5.0, 16.8
  Do not know 0.0 0.0, 2.6
D Corporation Finance Strongly agree 8.3 3.1, 17.3
  Somewhat agree 25.0 15.5, 36.6
  Neither agree nor disagree 16.7 8.9, 27.3
  Somewhat disagree 20.8 12.2, 32.0
  Strongly disagree 25.0 15.5, 36.6
  Do not know 4.2 0.9, 11.7
E Division of Economic and Risk Analysis Strongly agree 13.5 4.5, 28.8
  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 . Data Not Reported
  Do not know 0.0 0.0, 7.8
F Enforcement Strongly agree 12.7 7.8, 19.0
  Somewhat agree 34.6 27.9, 41.3
  Neither agree nor disagree 15.2 9.9, 21.9
  Somewhat disagree 29.3 23.0, 35.7
  Strongly disagree 7.5 3.8, 12.9
  Do not know 0.7 0.0, 3.7
G Investment Management Strongly agree 15.9 6.6, 30.1
  Somewhat agree 43.2 33.0, 53.3
  Neither agree nor disagree 22.7 11.5, 37.8
  Somewhat disagree 4.5 0.6, 15.5
  Strongly disagree 13.6 5.2, 27.4
  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 . Data Not Reported
  Do not know 0.0 0.0, 12.2
I Compliance Inspections and Examinations Strongly agree 19.4 13.2, 27.0
  Somewhat agree 34.6 26.8, 42.4
  Neither agree nor disagree 13.6 8.4, 20.5
  Somewhat disagree 19.4 13.2, 26.9
  Strongly disagree 11.6 6.8, 18.0
  Do not know 1.4 0.2, 5.0
J Information Technology Strongly agree 4.5 0.6, 15.5
  Somewhat agree 25.0 13.2, 40.3
  Neither agree nor disagree 11.4 3.8, 24.6
  Somewhat disagree 25.0 13.2, 40.3
  Strongly disagree 31.8 18.6, 47.6
  Do not know 2.3 0.1, 12.0
K Trading and Markets Strongly agree 6.4 1.3, 17.5
  Somewhat agree 40.4 26.4, 55.7
  Neither agree nor disagree 12.8 4.8, 25.7
  Somewhat disagree 25.5 13.9, 40.3
  Strongly disagree 14.9 6.2, 28.3
  Do not know 0.0 0.0, 6.2
L Enforcement Regional Offices Strongly agree 6.9 2.6, 14.4
  Somewhat agree 39.1 29.8, 48.3
  Neither agree nor disagree 16.1 9.1, 25.5
  Somewhat disagree 26.4 17.6, 37.0
  Strongly disagree 10.3 4.8, 18.7
  Do not know 1.1 0.0, 6.2
M Enforcement Headquarters Strongly agree 21.5 12.3, 33.5
  Somewhat agree 27.7 17.3, 40.2
  Neither agree nor disagree 13.8 6.5, 24.7
  Somewhat disagree 33.8 22.6, 46.6
  Strongly disagree 3.1 0.4, 10.7
  Do not know 0.0 0.0, 4.5
N Compliance Inspections and Examinations Regional Offices Strongly agree 18.2 10.3, 28.6
  Somewhat agree 36.4 26.6, 46.1
  Neither agree nor disagree 13.0 6.4, 22.6
  Somewhat disagree 19.5 11.3, 30.1
  Strongly disagree 11.7 5.5, 21.0
  Do not know 1.3 0.0, 7.0
O Compliance Inspections and Examinations Headquarters Strongly agree 23.8 14.0, 36.2
  Somewhat agree 28.6 17.9, 41.3
  Neither agree nor disagree 15.9 7.9, 27.3
  Somewhat disagree 19.0 10.2, 30.9
  Strongly disagree 11.1 4.6, 21.6
  Do not know 1.6 0.0, 8.5

28c. I have a voice in decisions that affect me and my work environment.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 17.8 14.8, 20.7
  Somewhat agree 34.1 30.4, 37.8
  Neither agree nor disagree 17.2 14.2, 20.2
  Somewhat disagree 19.0 16.0, 22.0
  Strongly disagree 11.2 8.9, 13.5
  Do not know 0.7 0.2, 1.8
B Entry or Mid-Level Non-Supervisors Strongly agree 16.2 13.0, 19.4
  Somewhat agree 31.5 27.5, 35.5
  Neither agree nor disagree 18.4 15.0, 21.8
  Somewhat disagree 21.2 17.6, 24.7
  Strongly disagree 11.9 9.0, 15.3
  Do not know 0.9 0.2, 2.3
C Supervisors Strongly agree 23.8 16.3, 32.7
  Somewhat agree 44.1 35.4, 52.7
  Neither agree nor disagree 12.7 7.2, 20.3
  Somewhat disagree 10.7 5.6, 17.9
  Strongly disagree 8.7 4.2, 15.5
  Do not know 0.0 0.0, 2.6
D Corporation Finance Strongly agree 8.5 3.2, 17.5
  Somewhat agree 29.6 19.3, 41.6
  Neither agree nor disagree 21.1 12.3, 32.4
  Somewhat disagree 19.7 11.2, 30.9
  Strongly disagree 19.7 11.2, 30.9
  Do not know 1.4 0.0, 7.6
E Division of Economic and Risk Analysis Strongly agree . Data Not Reported
  Somewhat agree 13.5 4.5, 28.8
  Neither agree nor disagree 18.9 8.0, 35.2
  Somewhat disagree 13.5 4.5, 28.8
  Strongly disagree 18.9 8.0, 35.2
  Do not know 0.0 0.0, 7.8
F Enforcement Strongly agree 17.2 11.6, 24.2
  Somewhat agree 31.7 25.1, 38.3
  Neither agree nor disagree 17.6 11.9, 24.6
  Somewhat disagree 22.8 16.4, 30.3
  Strongly disagree 10.1 5.8, 16.0
  Do not know 0.6 0.0, 3.6
G Investment Management Strongly agree 14.0 5.3, 27.9
  Somewhat agree 44.2 33.9, 54.5
  Neither agree nor disagree 23.3 11.8, 38.6
  Somewhat disagree 9.3 2.6, 22.1
  Strongly disagree 9.3 2.6, 22.1
  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 4.5 0.1, 22.8
  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 22.1 15.6, 29.8
  Somewhat agree 39.7 31.8, 47.6
  Neither agree nor disagree 15.2 9.6, 22.4
  Somewhat disagree 15.0 9.6, 21.9
  Strongly disagree 7.0 3.4, 12.6
  Do not know 1.0 0.0, 4.7
J Information Technology Strongly agree 11.9 4.0, 25.6
  Somewhat agree 21.4 10.3, 36.8
  Neither agree nor disagree 19.0 8.6, 34.1
  Somewhat disagree 28.6 15.7, 44.6
  Strongly disagree 19.0 8.6, 34.1
  Do not know 0.0 0.0, 6.9
K Trading and Markets Strongly agree 14.9 6.2, 28.3
  Somewhat agree 40.4 26.4, 55.7
  Neither agree nor disagree 14.9 6.2, 28.3
  Somewhat disagree 19.1 9.1, 33.3
  Strongly disagree 10.6 3.5, 23.1
  Do not know 0.0 0.0, 6.2
L Enforcement Regional Offices Strongly agree 17.2 10.0, 26.8
  Somewhat agree 31.0 22.3, 39.8
  Neither agree nor disagree 21.8 13.7, 32.0
  Somewhat disagree 18.4 10.9, 28.1
  Strongly disagree 11.5 5.7, 20.1
  Do not know 0.0 0.0, 3.4
M Enforcement Headquarters Strongly agree 17.2 8.9, 28.7
  Somewhat agree 32.8 21.6, 45.7
  Neither agree nor disagree 10.9 4.5, 21.2
  Somewhat disagree 29.7 18.9, 42.4
  Strongly disagree 7.8 2.6, 17.3
  Do not know 1.6 0.0, 8.4
N Compliance Inspections and Examinations Regional Offices Strongly agree 20.3 12.0, 30.8
  Somewhat agree 39.2 29.5, 49.0
  Neither agree nor disagree 17.7 10.0, 27.9
  Somewhat disagree 15.2 8.1, 25.0
  Strongly disagree 6.3 2.1, 14.2
  Do not know 1.3 0.0, 6.9
O Compliance Inspections and Examinations Headquarters Strongly agree 28.6 17.9, 41.3
  Somewhat agree 41.3 32.1, 50.5
  Neither agree nor disagree 6.3 1.8, 15.5
  Somewhat disagree 14.3 6.7, 25.4
  Strongly disagree 9.5 3.6, 19.6
  Do not know 0.0 0.0, 4.6

28d. Management in my division/office has taken steps to improve employee morale.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 18.4 15.4, 21.3
  Somewhat agree 33.2 29.6, 36.9
  Neither agree nor disagree 18.1 15.1, 21.1
  Somewhat disagree 16.1 13.1, 19.0
  Strongly disagree 9.8 7.4, 12.5
  Do not know 4.5 2.9, 6.5
B Entry or Mid-Level Non-Supervisors Strongly agree 16.6 13.4, 19.8
  Somewhat agree 32.8 28.8, 36.9
  Neither agree nor disagree 17.9 14.6, 21.2
  Somewhat disagree 16.9 13.5, 20.2
  Strongly disagree 10.2 7.6, 13.4
  Do not know 5.6 3.7, 8.2
C Supervisors Strongly agree 25.3 17.6, 34.3
  Somewhat agree 34.8 26.4, 43.2
  Neither agree nor disagree 19.0 12.3, 27.5
  Somewhat disagree 12.8 7.3, 20.4
  Strongly disagree 8.1 3.8, 14.7
  Do not know 0.0 0.0, 2.6
D Corporation Finance Strongly agree 8.3 3.1, 17.3
  Somewhat agree 16.7 8.9, 27.3
  Neither agree nor disagree 20.8 12.2, 32.0
  Somewhat disagree 20.8 12.2, 32.0
  Strongly disagree 25.0 15.5, 36.6
  Do not know 8.3 3.1, 17.3
E Division of Economic and Risk Analysis Strongly agree . Data Not Reported
  Somewhat agree 19.4 8.2, 36.0
  Neither agree nor disagree 13.9 4.7, 29.5
  Somewhat disagree 11.1 3.1, 26.1
  Strongly disagree 13.9 4.7, 29.5
  Do not know 0.0 0.0, 8.0
F Enforcement Strongly agree 16.7 11.1, 23.6
  Somewhat agree 39.1 32.2, 46.0
  Neither agree nor disagree 19.8 13.8, 27.1
  Somewhat disagree 13.8 8.7, 20.4
  Strongly disagree 6.1 2.9, 11.2
  Do not know 4.4 1.8, 9.1
G Investment Management Strongly agree 20.5 9.8, 35.3
  Somewhat agree 47.7 37.5, 58.0
  Neither agree nor disagree 15.9 6.6, 30.1
  Somewhat disagree 4.5 0.6, 15.5
  Strongly disagree 9.1 2.5, 21.7
  Do not know 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 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 22.4 15.9, 30.2
  Somewhat agree 34.0 26.3, 41.7
  Neither agree nor disagree 15.6 10.1, 22.7
  Somewhat disagree 19.2 13.0, 26.8
  Strongly disagree 4.7 1.9, 9.6
  Do not know 4.0 1.4, 8.7
J Information Technology Strongly agree 9.1 2.5, 21.7
  Somewhat agree 25.0 13.2, 40.3
  Neither agree nor disagree 27.3 15.0, 42.8
  Somewhat disagree 20.5 9.8, 35.3
  Strongly disagree 15.9 6.6, 30.1
  Do not know 2.3 0.1, 12.0
K Trading and Markets Strongly agree 17.0 7.6, 30.8
  Somewhat agree 34.0 20.9, 49.3
  Neither agree nor disagree 17.0 7.6, 30.8
  Somewhat disagree 10.6 3.5, 23.1
  Strongly disagree 14.9 6.2, 28.3
  Do not know 6.4 1.3, 17.5
L Enforcement Regional Offices Strongly agree 18.4 10.9, 28.1
  Somewhat agree 39.1 29.8, 48.3
  Neither agree nor disagree 19.5 11.8, 29.4
  Somewhat disagree 12.6 6.5, 21.5
  Strongly disagree 8.0 3.3, 15.9
  Do not know 2.3 0.3, 8.1
M Enforcement Headquarters Strongly agree 14.1 6.6, 25.0
  Somewhat agree 39.1 28.8, 49.3
  Neither agree nor disagree 20.3 11.3, 32.2
  Somewhat disagree 15.6 7.8, 26.9
  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 20.3 12.0, 30.8
  Somewhat agree 34.2 24.7, 43.7
  Neither agree nor disagree 16.5 9.1, 26.5
  Somewhat disagree 21.5 13.1, 32.2
  Strongly disagree 3.8 0.8, 10.7
  Do not know 3.8 0.8, 10.7
O Compliance Inspections and Examinations Headquarters Strongly agree 30.2 19.2, 43.0
  Somewhat agree 33.3 22.0, 46.3
  Neither agree nor disagree 12.7 5.6, 23.5
  Somewhat disagree 11.1 4.6, 21.6
  Strongly disagree 7.9 2.6, 17.6
  Do not know 4.8 1.0, 13.3

28e. Supervisors and managers in my division/office tolerate honest mistakes as learning experiences.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 29.4 25.9, 32.8
  Somewhat agree 40.9 37.1, 44.7
  Neither agree nor disagree 12.7 10.2, 15.3
  Somewhat disagree 6.1 4.3, 8.4
  Strongly disagree 3.5 2.2, 5.4
  Do not know 7.4 5.4, 9.9
B Entry or Mid-Level Non-Supervisors Strongly agree 27.9 24.0, 31.7
  Somewhat agree 41.0 36.8, 45.3
  Neither agree nor disagree 13.3 10.3, 16.8
  Somewhat disagree 6.2 4.1, 8.8
  Strongly disagree 3.7 2.1, 5.8
  Do not know 8.0 5.6, 10.9
C Supervisors Strongly agree 35.1 26.9, 43.3
  Somewhat agree 40.3 31.7, 48.9
  Neither agree nor disagree 10.4 5.4, 17.6
  Somewhat disagree 5.9 2.4, 12.1
  Strongly disagree 3.0 0.7, 8.1
  Do not know 5.3 1.9, 11.3
D Corporation Finance Strongly agree 26.4 16.7, 38.1
  Somewhat agree 38.9 29.4, 48.4
  Neither agree nor disagree 12.5 5.9, 22.4
  Somewhat disagree 5.6 1.5, 13.6
  Strongly disagree 4.2 0.9, 11.7
  Do not know 12.5 5.9, 22.4
E Division of Economic and Risk Analysis Strongly agree . Data Not Reported
  Somewhat agree 21.6 9.8, 38.2
  Neither agree nor disagree 13.5 4.5, 28.8
  Somewhat disagree 0.0 0.0, 7.8
  Strongly disagree 0.0 0.0, 7.8
  Do not know 18.9 8.0, 35.2
F Enforcement Strongly agree 30.7 24.2, 37.2
  Somewhat agree 44.5 37.5, 51.5
  Neither agree nor disagree 10.5 6.2, 16.5
  Somewhat disagree 5.1 2.2, 9.9
  Strongly disagree 1.9 0.4, 5.5
  Do not know 7.3 3.7, 12.6
G Investment Management Strongly agree 27.3 15.0, 42.8
  Somewhat agree . Data Not Reported
  Neither agree nor disagree 22.7 11.5, 37.8
  Somewhat disagree 2.3 0.1, 12.0
  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 . Data Not Reported
  Somewhat disagree 8.7 1.1, 28.0
  Strongly disagree 8.7 1.1, 28.0
  Do not know 4.3 0.1, 21.9
I Compliance Inspections and Examinations Strongly agree 28.9 21.6, 36.1
  Somewhat agree 41.1 33.1, 49.1
  Neither agree nor disagree 12.7 7.6, 19.4
  Somewhat disagree 8.7 4.6, 14.6
  Strongly disagree 2.7 0.7, 6.9
  Do not know 6.0 2.7, 11.3
J Information Technology Strongly agree 14.0 5.3, 27.9
  Somewhat agree . Data Not Reported
  Neither agree nor disagree 27.9 15.3, 43.7
  Somewhat disagree 2.3 0.1, 12.3
  Strongly disagree 16.3 6.8, 30.7
  Do not know 2.3 0.1, 12.3
K Trading and Markets Strongly agree 36.2 22.7, 51.5
  Somewhat agree 38.3 24.5, 53.6
  Neither agree nor disagree 4.3 0.5, 14.5
  Somewhat disagree 8.5 2.4, 20.4
  Strongly disagree 6.4 1.3, 17.5
  Do not know 6.4 1.3, 17.5
L Enforcement Regional Offices Strongly agree 30.7 22.0, 39.4
  Somewhat agree 45.5 36.1, 54.8
  Neither agree nor disagree 11.4 5.6, 19.9
  Somewhat disagree 3.4 0.7, 9.6
  Strongly disagree 1.1 0.0, 6.2
  Do not know 8.0 3.3, 15.7
M Enforcement Headquarters Strongly agree 30.8 19.9, 43.4
  Somewhat agree 43.1 32.8, 53.4
  Neither agree nor disagree 9.2 3.5, 19.0
  Somewhat disagree 7.7 2.5, 17.0
  Strongly disagree 3.1 0.4, 10.7
  Do not know 6.2 1.7, 15.0
N Compliance Inspections and Examinations Regional Offices Strongly agree 26.6 17.3, 37.7
  Somewhat agree 41.8 31.9, 51.7
  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 6.3 2.1, 14.2
O Compliance Inspections and Examinations Headquarters Strongly agree 37.1 28.0, 46.2
  Somewhat agree 38.7 29.5, 47.9
  Neither agree nor disagree 8.1 2.7, 17.8
  Somewhat disagree 8.1 2.7, 17.8
  Strongly disagree 3.2 0.4, 11.2
  Do not know 4.8 1.0, 13.5

28f. There are clearly defined policies and procedures for doing my work.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 26.7 23.2, 30.1
  Somewhat agree 47.7 43.9, 51.6
  Neither agree nor disagree 10.3 7.9, 13.1
  Somewhat disagree 11.1 8.8, 13.4
  Strongly disagree 3.8 2.3, 5.7
  Do not know 0.5 0.1, 1.4
B Entry or Mid-Level Non-Supervisors Strongly agree 24.2 20.5, 27.9
  Somewhat agree 48.0 43.8, 52.3
  Neither agree nor disagree 9.9 7.3, 13.0
  Somewhat disagree 13.3 10.3, 16.8
  Strongly disagree 4.1 2.5, 6.4
  Do not know 0.4 0.1, 1.6
C Supervisors Strongly agree 36.3 28.0, 44.7
  Somewhat agree 46.6 38.0, 55.2
  Neither agree nor disagree 11.8 6.5, 19.2
  Somewhat disagree 2.5 0.5, 7.3
  Strongly disagree 2.3 0.4, 7.0
  Do not know 0.6 0.0, 4.8
D Corporation Finance Strongly agree 26.4 16.7, 38.1
  Somewhat agree 51.4 41.6, 61.2
  Neither agree nor disagree 9.7 4.0, 19.0
  Somewhat disagree 6.9 2.3, 15.5
  Strongly disagree 2.8 0.3, 9.7
  Do not know 2.8 0.3, 9.7
E Division of Economic and Risk Analysis Strongly agree 21.6 9.8, 38.2
  Somewhat agree 24.3 11.8, 41.2
  Neither agree nor disagree 10.8 3.0, 25.4
  Somewhat disagree . Data Not Reported
  Strongly disagree 10.8 3.0, 25.4
  Do not know 0.0 0.0, 7.8
F Enforcement Strongly agree 26.0 19.8, 32.1
  Somewhat agree 49.1 42.1, 56.0
  Neither agree nor disagree 10.3 5.9, 16.2
  Somewhat disagree 10.9 6.4, 16.9
  Strongly disagree 3.9 1.4, 8.3
  Do not know 0.0 0.0, 1.9
G Investment Management Strongly agree 25.0 13.2, 40.3
  Somewhat agree 54.5 44.3, 64.8
  Neither agree nor disagree 11.4 3.8, 24.6
  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
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, 12.7
  Do not know 0.0 0.0, 12.7
I Compliance Inspections and Examinations Strongly agree 31.7 24.1, 39.2
  Somewhat agree 51.6 43.5, 59.7
  Neither agree nor disagree 5.7 2.5, 10.9
  Somewhat disagree 8.3 4.3, 14.2
  Strongly disagree 2.7 0.7, 6.9
  Do not know 0.0 0.0, 2.1
J Information Technology Strongly agree 20.5 9.8, 35.3
  Somewhat agree 36.4 22.4, 52.2
  Neither agree nor disagree 18.2 8.2, 32.7
  Somewhat disagree 15.9 6.6, 30.1
  Strongly disagree 6.8 1.4, 18.7
  Do not know 2.3 0.1, 12.0
K Trading and Markets Strongly agree 19.1 9.1, 33.3
  Somewhat agree 29.8 17.3, 44.9
  Neither agree nor disagree 23.4 12.3, 38.0
  Somewhat disagree 21.3 10.7, 35.7
  Strongly disagree 6.4 1.3, 17.5
  Do not know 0.0 0.0, 6.2
L Enforcement Regional Offices Strongly agree 23.9 15.4, 34.1
  Somewhat agree 56.8 47.5, 66.1
  Neither agree nor disagree 8.0 3.3, 15.7
  Somewhat disagree 8.0 3.3, 15.7
  Strongly disagree 3.4 0.7, 9.6
  Do not know 0.0 0.0, 3.3
M Enforcement Headquarters Strongly agree 29.2 18.6, 41.8
  Somewhat agree 36.9 26.9, 47.0
  Neither agree nor disagree 13.8 6.5, 24.7
  Somewhat disagree 15.4 7.6, 26.5
  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 31.6 22.3, 41.0
  Somewhat agree 53.2 43.2, 63.2
  Neither agree nor disagree 5.1 1.4, 12.5
  Somewhat disagree 8.9 3.6, 17.4
  Strongly disagree 1.3 0.0, 6.9
  Do not know 0.0 0.0, 3.7
O Compliance Inspections and Examinations Headquarters Strongly agree 31.7 20.6, 44.7
  Somewhat agree 46.0 36.7, 55.3
  Neither agree nor disagree 7.9 2.6, 17.6
  Somewhat disagree 6.3 1.8, 15.5
  Strongly disagree 7.9 2.6, 17.6
  Do not know 0.0 0.0, 4.6

28g. Innovative ideas are encouraged in my division/office.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 23.6 20.4, 26.9
  Somewhat agree 36.3 32.6, 40.0
  Neither agree nor disagree 16.0 13.2, 18.8
  Somewhat disagree 14.4 11.7, 17.0
  Strongly disagree 7.2 5.2, 9.7
  Do not know 2.4 1.3, 4.1
B Entry or Mid-Level Non-Supervisors Strongly agree 22.3 18.8, 25.9
  Somewhat agree 35.1 31.0, 39.2
  Neither agree nor disagree 16.3 13.2, 19.5
  Somewhat disagree 15.3 12.3, 18.4
  Strongly disagree 8.0 5.7, 11.0
  Do not know 2.9 1.5, 4.9
C Supervisors Strongly agree 28.6 20.9, 36.4
  Somewhat agree 41.0 32.5, 49.5
  Neither agree nor disagree 14.9 8.9, 22.8
  Somewhat disagree 10.7 5.7, 17.8
  Strongly disagree 4.1 1.3, 9.6
  Do not know 0.7 0.0, 4.8
D Corporation Finance Strongly agree 13.9 6.9, 24.1
  Somewhat agree 26.4 16.7, 38.1
  Neither agree nor disagree 25.0 15.5, 36.6
  Somewhat disagree 22.2 13.3, 33.6
  Strongly disagree 9.7 4.0, 19.0
  Do not know 2.8 0.3, 9.7
E Division of Economic and Risk Analysis Strongly agree . Data Not Reported
  Somewhat agree 24.3 11.8, 41.2
  Neither agree nor disagree 5.4 0.7, 18.2
  Somewhat disagree 16.2 6.2, 32.0
  Strongly disagree 16.2 6.2, 32.0
  Do not know 0.0 0.0, 7.8
F Enforcement Strongly agree 23.4 16.9, 31.0
  Somewhat agree 40.9 34.1, 47.8
  Neither agree nor disagree 9.7 5.5, 15.6
  Somewhat disagree 18.1 12.4, 25.2
  Strongly disagree 5.3 2.3, 10.2
  Do not know 2.5 0.7, 6.4
G Investment Management Strongly agree 25.0 13.2, 40.3
  Somewhat agree 43.2 33.0, 53.3
  Neither agree nor disagree 18.2 8.2, 32.7
  Somewhat disagree 9.1 2.5, 21.7
  Strongly disagree 4.5 0.6, 15.5
  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 . Data Not Reported
  Do not know 0.0 0.0, 12.7
I Compliance Inspections and Examinations Strongly agree 26.4 19.3, 33.4
  Somewhat agree 36.7 28.9, 44.5
  Neither agree nor disagree 20.3 14.0, 27.8
  Somewhat disagree 8.0 4.1, 13.8
  Strongly disagree 5.7 2.5, 10.9
  Do not know 3.0 0.8, 7.7
J Information Technology Strongly agree 22.7 11.5, 37.8
  Somewhat agree 31.8 18.6, 47.6
  Neither agree nor disagree 13.6 5.2, 27.4
  Somewhat disagree 15.9 6.6, 30.1
  Strongly disagree 15.9 6.6, 30.1
  Do not know 0.0 0.0, 6.6
K Trading and Markets Strongly agree 21.7 10.9, 36.4
  Somewhat agree 37.0 23.2, 52.5
  Neither agree nor disagree 17.4 7.8, 31.4
  Somewhat disagree 10.9 3.6, 23.6
  Strongly disagree 8.7 2.4, 20.8
  Do not know 4.3 0.5, 14.8
L Enforcement Regional Offices Strongly agree 20.5 12.6, 30.4
  Somewhat agree 50.0 40.6, 59.4
  Neither agree nor disagree 8.0 3.3, 15.7
  Somewhat disagree 14.8 8.1, 23.9
  Strongly disagree 5.7 1.9, 12.8
  Do not know 1.1 0.0, 6.2
M Enforcement Headquarters Strongly agree 28.1 17.6, 40.8
  Somewhat agree 26.6 16.3, 39.1
  Neither agree nor disagree 12.5 5.6, 23.2
  Somewhat disagree 23.4 13.8, 35.7
  Strongly disagree 4.7 1.0, 13.1
  Do not know 4.7 1.0, 13.1
N Compliance Inspections and Examinations Regional Offices Strongly agree 25.3 16.2, 36.4
  Somewhat agree 36.7 27.0, 46.4
  Neither agree nor disagree 21.5 13.1, 32.2
  Somewhat disagree 7.6 2.8, 15.8
  Strongly disagree 5.1 1.4, 12.5
  Do not know 3.8 0.8, 10.7
O Compliance Inspections and Examinations Headquarters Strongly agree 30.2 19.2, 43.0
  Somewhat agree 36.5 27.5, 45.5
  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 0.0 0.0, 4.6

28h. Fear of public scandals has made SEC overly cautious and risk-averse.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 18.2 15.3, 21.1
  Somewhat agree 28.6 25.1, 32.2
  Neither agree nor disagree 20.5 17.4, 23.6
  Somewhat disagree 16.5 13.6, 19.4
  Strongly disagree 7.4 5.3, 9.9
  Do not know 8.8 6.6, 11.4
B Entry or Mid-Level Non-Supervisors Strongly agree 18.7 15.4, 22.0
  Somewhat agree 27.9 24.0, 31.9
  Neither agree nor disagree 21.1 17.6, 24.6
  Somewhat disagree 14.6 11.5, 17.6
  Strongly disagree 6.8 4.6, 9.5
  Do not know 10.9 8.2, 14.2
C Supervisors Strongly agree 16.4 10.2, 24.5
  Somewhat agree 31.2 22.9, 39.5
  Neither agree nor disagree 18.2 11.6, 26.6
  Somewhat disagree 24.0 16.5, 32.9
  Strongly disagree 9.6 4.9, 16.6
  Do not know 0.5 0.0, 4.8
D Corporation Finance Strongly agree 18.1 10.0, 28.9
  Somewhat agree 15.3 7.9, 25.7
  Neither agree nor disagree 20.8 12.2, 32.0
  Somewhat disagree 18.1 10.0, 28.9
  Strongly disagree 13.9 6.9, 24.1
  Do not know 13.9 6.9, 24.1
E Division of Economic and Risk Analysis Strongly agree . Data Not Reported
  Somewhat agree 13.5 4.5, 28.8
  Neither agree nor disagree 24.3 11.8, 41.2
  Somewhat disagree 5.4 0.7, 18.2
  Strongly disagree 8.1 1.7, 21.9
  Do not know 16.2 6.2, 32.0
F Enforcement Strongly agree 13.8 8.8, 20.3
  Somewhat agree 37.6 30.7, 44.4
  Neither agree nor disagree 17.6 11.9, 24.6
  Somewhat disagree 17.0 11.4, 23.9
  Strongly disagree 7.1 3.6, 12.3
  Do not know 7.0 3.5, 12.2
G Investment Management Strongly agree 11.6 3.9, 25.1
  Somewhat agree 27.9 15.3, 43.7
  Neither agree nor disagree 20.9 10.0, 36.0
  Somewhat disagree 18.6 8.4, 33.4
  Strongly disagree 7.0 1.5, 19.1
  Do not know 14.0 5.3, 27.9
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 9.1 1.1, 29.2
  Strongly disagree 9.1 1.1, 29.2
  Do not know 0.0 0.0, 12.7
I Compliance Inspections and Examinations Strongly agree 20.7 14.4, 28.3
  Somewhat agree 31.7 24.1, 39.2
  Neither agree nor disagree 20.6 14.3, 28.2
  Somewhat disagree 16.0 10.4, 23.1
  Strongly disagree 4.6 1.8, 9.6
  Do not know 6.3 2.9, 11.7
J Information Technology Strongly agree . Data Not Reported
  Somewhat agree 20.9 10.0, 36.0
  Neither agree nor disagree 23.3 11.8, 38.6
  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
K Trading and Markets Strongly agree 10.6 3.5, 23.1
  Somewhat agree 8.5 2.4, 20.4
  Neither agree nor disagree 25.5 13.9, 40.3
  Somewhat disagree 25.5 13.9, 40.3
  Strongly disagree 10.6 3.5, 23.1
  Do not know 19.1 9.1, 33.3
L Enforcement Regional Offices Strongly agree 14.8 8.1, 23.9
  Somewhat agree 40.9 31.7, 50.2
  Neither agree nor disagree 17.0 9.9, 26.6
  Somewhat disagree 17.0 9.9, 26.6
  Strongly disagree 5.7 1.9, 12.8
  Do not know 4.5 1.3, 11.2
M Enforcement Headquarters Strongly agree 12.3 5.5, 22.8
  Somewhat agree 32.3 21.2, 45.1
  Neither agree nor disagree 18.5 9.9, 30.0
  Somewhat disagree 16.9 8.8, 28.3
  Strongly disagree 9.2 3.5, 19.0
  Do not know 10.8 4.4, 20.9
N Compliance Inspections and Examinations Regional Offices Strongly agree 19.0 11.0, 29.4
  Somewhat agree 31.6 22.3, 41.0
  Neither agree nor disagree 21.5 13.1, 32.2
  Somewhat disagree 16.5 9.1, 26.5
  Strongly disagree 5.1 1.4, 12.5
  Do not know 6.3 2.1, 14.2
O Compliance Inspections and Examinations Headquarters Strongly agree 27.0 16.6, 39.7
  Somewhat agree 31.7 20.6, 44.7
  Neither agree nor disagree 17.5 9.1, 29.1
  Somewhat disagree 14.3 6.7, 25.4
  Strongly disagree 3.2 0.4, 11.0
  Do not know 6.3 1.8, 15.5

28i. In my view, the fear of being wrong makes supervisors and managers in my division/office reluctant to take a stand on important issues.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 16.2 13.5, 19.0
  Somewhat agree 27.2 23.7, 30.7
  Neither agree nor disagree 18.1 15.2, 21.0
  Somewhat disagree 22.0 18.9, 25.2
  Strongly disagree 9.7 7.4, 12.4
  Do not know 6.8 4.8, 9.2
B Entry or Mid-Level Non-Supervisors Strongly agree 17.7 14.5, 21.0
  Somewhat agree 25.0 21.2, 28.8
  Neither agree nor disagree 19.0 15.7, 22.3
  Somewhat disagree 21.2 17.7, 24.6
  Strongly disagree 9.1 6.6, 12.1
  Do not know 8.1 5.7, 11.0
C Supervisors Strongly agree 10.4 5.5, 17.6
  Somewhat agree 35.7 27.2, 44.2
  Neither agree nor disagree 14.6 8.7, 22.5
  Somewhat disagree 25.5 17.8, 34.6
  Strongly disagree 12.1 6.7, 19.6
  Do not know 1.7 0.2, 6.2
D Corporation Finance Strongly agree 15.3 7.9, 25.7
  Somewhat agree 20.8 12.2, 32.0
  Neither agree nor disagree 13.9 6.9, 24.1
  Somewhat disagree 20.8 12.2, 32.0
  Strongly disagree 15.3 7.9, 25.7
  Do not know 13.9 6.9, 24.1
E Division of Economic and Risk Analysis Strongly agree 21.6 9.8, 38.2
  Somewhat agree 10.8 3.0, 25.4
  Neither agree nor disagree 18.9 8.0, 35.2
  Somewhat disagree 24.3 11.8, 41.2
  Strongly disagree 13.5 4.5, 28.8
  Do not know 10.8 3.0, 25.4
F Enforcement Strongly agree 17.3 11.6, 24.2
  Somewhat agree 33.4 26.8, 40.0
  Neither agree nor disagree 13.6 8.6, 20.1
  Somewhat disagree 21.5 15.3, 28.8
  Strongly disagree 12.2 7.5, 18.5
  Do not know 2.0 0.4, 5.7
G Investment Management Strongly agree 9.1 2.5, 21.7
  Somewhat agree 18.2 8.2, 32.7
  Neither agree nor disagree 25.0 13.2, 40.3
  Somewhat disagree 27.3 15.0, 42.8
  Strongly disagree 9.1 2.5, 21.7
  Do not know 11.4 3.8, 24.6
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 9.1 1.1, 29.2
  Do not know 0.0 0.0, 12.7
I Compliance Inspections and Examinations Strongly agree 13.2 8.1, 19.9
  Somewhat agree 29.2 21.7, 36.7
  Neither agree nor disagree 22.6 16.0, 30.4
  Somewhat disagree 22.6 16.0, 30.4
  Strongly disagree 3.3 1.0, 8.0
  Do not know 9.1 4.9, 15.1
J Information Technology Strongly agree 31.8 18.6, 47.6
  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 2.3 0.1, 12.0
  Do not know 2.3 0.1, 12.0
K Trading and Markets Strongly agree 14.9 6.2, 28.3
  Somewhat agree 10.6 3.5, 23.1
  Neither agree nor disagree 19.1 9.1, 33.3
  Somewhat disagree 27.7 15.6, 42.6
  Strongly disagree 19.1 9.1, 33.3
  Do not know 8.5 2.4, 20.4
L Enforcement Regional Offices Strongly agree 20.5 12.6, 30.4
  Somewhat agree 34.1 25.2, 43.0
  Neither agree nor disagree 12.5 6.4, 21.3
  Somewhat disagree 20.5 12.6, 30.4
  Strongly disagree 10.2 4.8, 18.5
  Do not know 2.3 0.3, 8.0
M Enforcement Headquarters Strongly agree 12.3 5.5, 22.8
  Somewhat agree 32.3 21.2, 45.1
  Neither agree nor disagree 15.4 7.6, 26.5
  Somewhat disagree 23.1 13.5, 35.2
  Strongly disagree 15.4 7.6, 26.5
  Do not know 1.5 0.0, 8.3
N Compliance Inspections and Examinations Regional Offices Strongly agree 11.5 5.4, 20.8
  Somewhat agree 32.1 22.6, 41.5
  Neither agree nor disagree 21.8 13.2, 32.6
  Somewhat disagree 21.8 13.2, 32.6
  Strongly disagree 3.8 0.8, 10.8
  Do not know 9.0 3.7, 17.6
O Compliance Inspections and Examinations Headquarters Strongly agree 19.0 10.2, 30.9
  Somewhat agree 19.0 10.2, 30.9
  Neither agree nor disagree 25.4 15.3, 37.9
  Somewhat disagree 25.4 15.3, 37.9
  Strongly disagree 1.6 0.0, 8.5
  Do not know 9.5 3.6, 19.6

28j. In my view, the fear of being wrong makes Senior Officers in my division/office reluctant to take a stand on important issues.

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Strongly agree 16.7 13.9, 19.4
  Somewhat agree 23.9 20.4, 27.3
  Neither agree nor disagree 19.9 16.9, 23.0
  Somewhat disagree 18.1 15.1, 21.0
  Strongly disagree 12.0 9.5, 14.5
  Do not know 9.4 7.1, 12.1
B Entry or Mid-Level Non-Supervisors Strongly agree 17.7 14.5, 20.9
  Somewhat agree 22.8 19.0, 26.6
  Neither agree nor disagree 20.2 16.7, 23.6
  Somewhat disagree 17.3 14.1, 20.6
  Strongly disagree 10.9 8.1, 14.1
  Do not know 11.1 8.3, 14.4
C Supervisors Strongly agree 12.5 7.0, 20.0
  Somewhat agree 27.8 20.0, 35.7
  Neither agree nor disagree 19.1 12.3, 27.6
  Somewhat disagree 21.0 13.9, 29.6
  Strongly disagree 16.6 10.3, 24.8
  Do not know 3.0 0.5, 9.3
D Corporation Finance Strongly agree 16.7 8.9, 27.3
  Somewhat agree 15.3 7.9, 25.7
  Neither agree nor disagree 18.1 10.0, 28.9
  Somewhat disagree 15.3 7.9, 25.7
  Strongly disagree 12.5 5.9, 22.4
  Do not know 22.2 13.3, 33.6
E Division of Economic and Risk Analysis Strongly agree . Data Not Reported
  Somewhat agree 8.1 1.7, 21.9
  Neither agree nor disagree 16.2 6.2, 32.0
  Somewhat disagree 18.9 8.0, 35.2
  Strongly disagree 13.5 4.5, 28.8
  Do not know 16.2 6.2, 32.0
F Enforcement Strongly agree 16.8 11.2, 23.8
  Somewhat agree 30.4 23.9, 36.9
  Neither agree nor disagree 18.6 12.7, 25.7
  Somewhat disagree 19.0 13.1, 26.2
  Strongly disagree 12.7 7.8, 19.1
  Do not know 2.5 0.7, 6.5
G Investment Management Strongly agree 6.8 1.4, 18.7
  Somewhat agree 15.9 6.6, 30.1
  Neither agree nor disagree 25.0 13.2, 40.3
  Somewhat disagree 27.3 15.0, 42.8
  Strongly disagree 9.1 2.5, 21.7
  Do not know 15.9 6.6, 30.1
H Office of the Chief Accountant and Office of Credit Ratings Strongly agree . Data Not Reported
  Somewhat agree 9.1 1.1, 29.2
  Neither agree nor disagree . Data Not Reported
  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 12.9 7.8, 19.5
  Somewhat agree 27.5 20.1, 34.9
  Neither agree nor disagree 20.6 14.3, 28.2
  Somewhat disagree 17.5 11.7, 24.8
  Strongly disagree 10.1 5.7, 16.3
  Do not know 11.4 6.7, 17.9
J Information Technology Strongly agree 31.8 18.6, 47.6
  Somewhat agree 25.0 13.2, 40.3
  Neither agree nor disagree 22.7 11.5, 37.8
  Somewhat disagree 11.4 3.8, 24.6
  Strongly disagree 4.5 0.6, 15.5
  Do not know 4.5 0.6, 15.5
K Trading and Markets Strongly agree 17.0 7.6, 30.8
  Somewhat agree 6.4 1.3, 17.5
  Neither agree nor disagree 21.3 10.7, 35.7
  Somewhat disagree 19.1 9.1, 33.3
  Strongly disagree 25.5 13.9, 40.3
  Do not know 10.6 3.5, 23.1
L Enforcement Regional Offices Strongly agree 18.6 11.0, 28.4
  Somewhat agree 34.9 25.8, 44.0
  Neither agree nor disagree 17.4 10.1, 27.1
  Somewhat disagree 15.1 8.3, 24.5
  Strongly disagree 12.8 6.6, 21.7
  Do not know 1.2 0.0, 6.3
M Enforcement Headquarters Strongly agree 14.1 6.6, 25.0
  Somewhat agree 23.4 13.8, 35.7
  Neither agree nor disagree 20.3 11.3, 32.2
  Somewhat disagree 25.0 15.0, 37.4
  Strongly disagree 12.5 5.6, 23.2
  Do not know 4.7 1.0, 13.1
N Compliance Inspections and Examinations Regional Offices Strongly agree 11.5 5.4, 20.8
  Somewhat agree 30.8 21.5, 40.1
  Neither agree nor disagree 19.2 11.2, 29.7
  Somewhat disagree 16.7 9.2, 26.8
  Strongly disagree 10.3 4.5, 19.2
  Do not know 11.5 5.4, 20.8
O Compliance Inspections and Examinations Headquarters Strongly agree 17.5 9.1, 29.1
  Somewhat agree 15.9 7.9, 27.3
  Neither agree nor disagree 25.4 15.3, 37.9
  Somewhat disagree 20.6 11.5, 32.7
  Strongly disagree 9.5 3.6, 19.6
  Do not know 11.1 4.6, 21.6

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

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A All Respondents Positive effect 0.7 0.2, 1.8
  No effect 30.0 26.4, 33.6
  Negative effect 62.8 59.1, 66.5
  No basis to judge 4.8 3.2, 6.9
  Do not know 1.7 0.8, 3.1
B Entry or Mid-Level Non-Supervisors Positive effect 0.9 0.2, 2.3
  No effect 29.6 25.7, 33.6
  Negative effect 62.1 57.9, 66.3
  No basis to judge 5.4 3.5, 7.9
  Do not know 2.0 0.9, 3.8
C Supervisors Positive effect 0.0 0.0, 2.6
  No effect 31.2 23.0, 39.5
  Negative effect 65.6 57.3, 73.9
  No basis to judge 2.6 0.5, 7.5
  Do not know 0.5 0.0, 4.8
D Corporation Finance Positive effect 1.4 0.0, 7.5
  No effect 33.3 24.1, 42.5
  Negative effect 56.9 47.3, 66.6
  No basis to judge 5.6 1.5, 13.6
  Do not know 2.8 0.3, 9.7
E Division of Economic and Risk Analysis Positive effect 0.0 0.0, 7.8
  No effect 16.2 6.2, 32.0
  Negative effect 78.4 61.8, 90.2
  No basis to judge 0.0 0.0, 7.8
  Do not know 5.4 0.7, 18.2
F Enforcement Positive effect 1.2 0.1, 4.5
  No effect 30.7 24.2, 37.2
  Negative effect 64.8 58.1, 71.5
  No basis to judge 2.7 0.8, 6.7
  Do not know 0.6 0.0, 3.6
G Investment Management Positive effect 0.0 0.0, 6.6
  No effect 36.4 22.4, 52.2
  Negative effect 54.5 44.3, 64.8
  No basis to judge 4.5 0.6, 15.5
  Do not know 4.5 0.6, 15.5
H Office of the Chief Accountant and Office of Credit Ratings Positive effect 0.0 0.0, 12.7
  No effect . Data Not Reported
  Negative effect . Data Not Reported
  No basis to judge 4.5 0.1, 22.8
  Do not know 0.0 0.0, 12.7
I Compliance Inspections and Examinations Positive effect 0.3 0.0, 3.9
  No effect 32.6 25.0, 40.2
  Negative effect 59.0 51.1, 67.0
  No basis to judge 6.0 2.7, 11.3
  Do not know 2.0 0.3, 6.3
J Information Technology Positive effect 0.0 0.0, 6.7
  No effect 16.3 6.8, 30.7
  Negative effect 74.4 58.8, 86.5
  No basis to judge 9.3 2.6, 22.1
  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 72.3 57.4, 84.4
  No basis to judge 8.5 2.4, 20.4
  Do not know 2.1 0.1, 11.3
L Enforcement Regional Offices Positive effect 0.0 0.0, 3.3
  No effect 28.4 19.3, 39.0
  Negative effect 68.2 59.4, 77.0
  No basis to judge 3.4 0.7, 9.6
  Do not know 0.0 0.0, 3.3
M Enforcement Headquarters Positive effect 3.1 0.4, 10.8
  No effect 34.4 22.9, 47.3
  Negative effect 59.4 49.1, 69.7
  No basis to judge 1.6 0.0, 8.4
  Do not know 1.6 0.0, 8.4
N Compliance Inspections and Examinations Regional Offices Positive effect 0.0 0.0, 3.7
  No effect 34.2 24.7, 43.7
  Negative effect 58.2 48.3, 68.1
  No basis to judge 5.1 1.4, 12.5
  Do not know 2.5 0.3, 8.8
O Compliance Inspections and Examinations Headquarters Positive effect 1.6 0.0, 8.5
  No effect 27.0 16.6, 39.7
  Negative effect 61.9 52.8, 71.0
  No basis to judge 9.5 3.6, 19.6
  Do not know 0.0 0.0, 4.6

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

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
Those Answering Positive Effect to Q29 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 morale?

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
A Those Answering Negative Effect to Q29 Large negative effect 30.9 26.5, 35.2
  Moderate negative effect 42.3 37.5, 47.1
  Small negative effect 26.3 21.9, 30.7
  No opinion 0.5 0.1, 2.0
B Entry or Mid-Level Non-Supervisors Large negative effect 31.3 26.3, 36.3
  Moderate negative effect 42.7 37.2, 48.1
  Small negative effect 25.4 20.5, 30.3
  No opinion 0.7 0.1, 2.5
C Supervisors Large negative effect 29.4 19.6, 40.8
  Moderate negative effect 41.2 31.0, 51.4
  Small negative effect 29.4 19.7, 40.9
  No opinion 0.0 0.0, 3.8
D Corporation Finance Large negative effect . Data Not Reported
  Moderate negative effect . Data Not Reported
  Small negative effect 19.5 8.8, 34.9
  No opinion 0.0 0.0, 7.0
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 30.6 22.5, 38.6
  Moderate negative effect 41.2 32.4, 49.9
  Small negative effect 27.3 18.7, 37.4
  No opinion 1.0 0.0, 5.7
G Investment Management Large negative effect . Data Not Reported
  Moderate negative effect . Data Not Reported
  Small negative effect . Data Not Reported
  No opinion 4.2 0.1, 21.1
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, 20.6
I Compliance Inspections and Examinations Large negative effect 26.6 17.6, 37.4
  Moderate negative effect 40.1 29.7, 50.5
  Small negative effect 33.2 23.2, 43.3
  No opinion 0.0 0.0, 3.5
J Information Technology Large negative effect . Data Not Reported
  Moderate negative effect . Data Not Reported
  Small negative effect 12.5 3.5, 29.0
  No opinion 0.0 0.0, 8.9
K Trading and Markets Large negative effect . Data Not Reported
  Moderate negative effect . Data Not Reported
  Small negative effect 14.7 5.0, 31.1
  No opinion 0.0 0.0, 8.4
L Enforcement Regional Offices Large negative effect 23.3 13.4, 36.0
  Moderate negative effect 46.7 35.3, 58.0
  Small negative effect 30.0 18.8, 43.2
  No opinion 0.0 0.0, 4.9
M Enforcement Headquarters Large negative effect . Data Not Reported
  Moderate negative effect . Data Not Reported
  Small negative effect 22.2 10.1, 39.2
  No opinion 2.8 0.1, 14.5
N Compliance Inspections and Examinations Regional Offices Large negative effect 22.2 11.2, 37.1
  Moderate negative effect . Data Not Reported
  Small negative effect 35.6 21.9, 51.2
  No opinion 0.0 0.0, 6.4
O Compliance Inspections and Examinations Headquarters Large negative effect . Data Not Reported
  Moderate negative effect . Data Not Reported
  Small negative effect 25.6 13.0, 42.1
  No opinion 0.0 0.0, 7.4

30. If there are any other issues, details, or information concerning the organizational culture or climate at the SEC or in your division/office that you would like us to know about, please use the space below to provide this information.

data intentionally not reported


Section 6 - Demographic and Background Information

31. In which SEC division or office do you currently work?

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
All Respondents Division of Enforcement 35.3 33.1, 37.5
  Division of Corporation Finance 12.6 11.2, 13.9
  Division of Investment Management 5.8 4.0, 8.1
  Division of Trading and Markets 6.2 4.4, 8.5
  Division of Economic and Risk Analysis 3.2 1.9, 5.0
  Office of Compliance Inspections and Examina 29.6 27.2, 32.0
  Office of Credit Ratings 1.3 0.5, 2.6
  Office of Information Technology 4.9 3.3, 7.0
  Office of the Chief Accountant 1.2 0.4, 2.4
  Other 0.0 0.0, 0.5
B Entry or Mid-Level Non-Supervisors Division of Enforcement 37.8 34.9, 40.7
  Division of Corporation Finance 12.5 9.6, 16.0
  Division of Investment Management 5.7 3.7, 8.2
  Division of Trading and Markets 6.3 4.2, 9.0
  Division of Economic and Risk Analysis 3.6 2.1, 5.8
  Office of Compliance Inspections and Examina 27.3 24.1, 30.4
  Office of Credit Ratings 0.9 0.3, 2.3
  Office of Information Technology 4.7 3.0, 7.2
  Office of the Chief Accountant 1.2 0.4, 2.7
  Other 0.0 0.0, 0.7
C Supervisors Division of Enforcement 25.7 18.0, 34.7
  Division of Corporation Finance 12.7 7.2, 20.2
  Division of Investment Management 6.2 2.5, 12.3
  Division of Trading and Markets 5.9 2.3, 11.9
  Division of Economic and Risk Analysis 1.7 0.2, 6.1
  Office of Compliance Inspections and Examina 38.7 30.5, 47.0
  Office of Credit Ratings 2.5 0.5, 7.4
  Office of Information Technology 5.5 2.1, 11.5
  Office of the Chief Accountant 1.0 0.0, 5.0
  Other 0.0 0.0, 2.6
D Corporation Finance Division of Enforcement 0.0 0.0, 4.1
  Division of Corporation Finance 100.0 95.9,100.0
  Division of Investment Management 0.0 0.0, 4.1
  Division of Trading and Markets 0.0 0.0, 4.1
  Division of Economic and Risk Analysis 0.0 0.0, 4.1
  Office of Compliance Inspections and Examina 0.0 0.0, 4.1
  Office of Credit Ratings 0.0 0.0, 4.1
  Office of Information Technology 0.0 0.0, 4.1
  Office of the Chief Accountant 0.0 0.0, 4.1
  Other 0.0 0.0, 4.1
E Division of Economic and Risk Analysis Division of Enforcement 0.0 0.0, 7.8
  Division of Corporation Finance 0.0 0.0, 7.8
  Division of Investment Management 2.7 0.1, 14.2
  Division of Trading and Markets 0.0 0.0, 7.8
  Division of Economic and Risk Analysis 97.3 85.8, 99.9
  Office of Compliance Inspections and Examina 0.0 0.0, 7.8
  Office of Credit Ratings 0.0 0.0, 7.8
  Office of Information Technology 0.0 0.0, 7.8
  Office of the Chief Accountant 0.0 0.0, 7.8
  Other 0.0 0.0, 7.8
F Enforcement Division of Enforcement 100.0 98.1,100.0
  Division of Corporation Finance 0.0 0.0, 1.9
  Division of Investment Management 0.0 0.0, 1.9
  Division of Trading and Markets 0.0 0.0, 1.9
  Division of Economic and Risk Analysis 0.0 0.0, 1.9
  Office of Compliance Inspections and Examina 0.0 0.0, 1.9
  Office of Credit Ratings 0.0 0.0, 1.9
  Office of Information Technology 0.0 0.0, 1.9
  Office of the Chief Accountant 0.0 0.0, 1.9
  Other 0.0 0.0, 1.9
G Investment Management Division of Enforcement 0.0 0.0, 6.6
  Division of Corporation Finance 0.0 0.0, 6.6
  Division of Investment Management 100.0 93.4,100.0
  Division of Trading and Markets 0.0 0.0, 6.6
  Division of Economic and Risk Analysis 0.0 0.0, 6.6
  Office of Compliance Inspections and Examina 0.0 0.0, 6.6
  Office of Credit Ratings 0.0 0.0, 6.6
  Office of Information Technology 0.0 0.0, 6.6
  Office of the Chief Accountant 0.0 0.0, 6.6
  Other 0.0 0.0, 6.6
H Office of the Chief Accountant and Office of Credit Ratings Division of Enforcement 0.0 0.0, 12.7
  Division of Corporation Finance 0.0 0.0, 12.7
  Division of Investment Management 0.0 0.0, 12.7
  Division of Trading and Markets 0.0 0.0, 12.7
  Division of Economic and Risk Analysis 0.0 0.0, 12.7
  Office of Compliance Inspections and Examina 0.0 0.0, 12.7
  Office of Credit Ratings . Data Not Reported
  Office of Information Technology 0.0 0.0, 12.7
  Office of the Chief Accountant . Data Not Reported
  Other 0.0 0.0, 12.7
I Compliance Inspections and Examinations Division of Enforcement 0.0 0.0, 2.1
  Division of Corporation Finance 0.0 0.0, 2.1
  Division of Investment Management 3.0 0.8, 7.7
  Division of Trading and Markets 0.0 0.0, 2.1
  Division of Economic and Risk Analysis 0.0 0.0, 2.1
  Office of Compliance Inspections and Examina 96.7 92.0, 99.0
  Office of Credit Ratings 0.3 0.0, 3.9
  Office of Information Technology 0.0 0.0, 2.1
  Office of the Chief Accountant 0.0 0.0, 2.1
  Other 0.0 0.0, 2.1
J Information Technology Division of Enforcement 0.0 0.0, 6.7
  Division of Corporation Finance 0.0 0.0, 6.7
  Division of Investment Management 0.0 0.0, 6.7
  Division of Trading and Markets 0.0 0.0, 6.7
  Division of Economic and Risk Analysis 0.0 0.0, 6.7
  Office of Compliance Inspections and Examina 0.0 0.0, 6.7
  Office of Credit Ratings 0.0 0.0, 6.7
  Office of Information Technology 100.0 93.3,100.0
  Office of the Chief Accountant 0.0 0.0, 6.7
  Other 0.0 0.0, 6.7
K Trading and Markets Division of Enforcement 0.0 0.0, 6.3
  Division of Corporation Finance 0.0 0.0, 6.3
  Division of Investment Management 0.0 0.0, 6.3
  Division of Trading and Markets 100.0 93.7,100.0
  Division of Economic and Risk Analysis 0.0 0.0, 6.3
  Office of Compliance Inspections and Examina 0.0 0.0, 6.3
  Office of Credit Ratings 0.0 0.0, 6.3
  Office of Information Technology 0.0 0.0, 6.3
  Office of the Chief Accountant 0.0 0.0, 6.3
  Other 0.0 0.0, 6.3
L Enforcement Regional Offices Division of Enforcement 100.0 96.7,100.0
  Division of Corporation Finance 0.0 0.0, 3.3
  Division of Investment Management 0.0 0.0, 3.3
  Division of Trading and Markets 0.0 0.0, 3.3
  Division of Economic and Risk Analysis 0.0 0.0, 3.3
  Office of Compliance Inspections and Examina 0.0 0.0, 3.3
  Office of Credit Ratings 0.0 0.0, 3.3
  Office of Information Technology 0.0 0.0, 3.3
  Office of the Chief Accountant 0.0 0.0, 3.3
  Other 0.0 0.0, 3.3
M Enforcement Headquarters Division of Enforcement 100.0 95.5,100.0
  Division of Corporation Finance 0.0 0.0, 4.5
  Division of Investment Management 0.0 0.0, 4.5
  Division of Trading and Markets 0.0 0.0, 4.5
  Division of Economic and Risk Analysis 0.0 0.0, 4.5
  Office of Compliance Inspections and Examina 0.0 0.0, 4.5
  Office of Credit Ratings 0.0 0.0, 4.5
  Office of Information Technology 0.0 0.0, 4.5
  Office of the Chief Accountant 0.0 0.0, 4.5
  Other 0.0 0.0, 4.5
N Compliance Inspections and Examinations Regional Offices Division of Enforcement 0.0 0.0, 3.7
  Division of Corporation Finance 0.0 0.0, 3.7
  Division of Investment Management 3.8 0.8, 10.7
  Division of Trading and Markets 0.0 0.0, 3.7
  Division of Economic and Risk Analysis 0.0 0.0, 3.7
  Office of Compliance Inspections and Examina 96.2 89.3, 99.2
  Office of Credit Ratings 0.0 0.0, 3.7
  Office of Information Technology 0.0 0.0, 3.7
  Office of the Chief Accountant 0.0 0.0, 3.7
  Other 0.0 0.0, 3.7
O Compliance Inspections and Examinations Headquarters Division of Enforcement 0.0 0.0, 4.7
  Division of Corporation Finance 0.0 0.0, 4.7
  Division of Investment Management 0.0 0.0, 4.7
  Division of Trading and Markets 0.0 0.0, 4.7
  Division of Economic and Risk Analysis 0.0 0.0, 4.7
  Office of Compliance Inspections and Examina 98.4 91.3,100.0
  Office of Credit Ratings 1.6 0.0, 8.7
  Office of Information Technology 0.0 0.0, 4.7
  Office of the Chief Accountant 0.0 0.0, 4.7
  Other 0.0 0.0, 4.7


Please specify the "other" division or
office where you currently work:

data intentionally not reported


32. If you currently work in the Division of Enforcement or OCIE, do you work for a specialized unit?

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
All Respondents Yes 17.0 14.2, 19.8
  No 49.7 46.3, 53.1
  I do not work in the Division of Enforcement 33.3 30.9, 35.7
B Entry or Mid-Level Non-Supervisors Yes 16.6 13.4, 19.9
  No 50.5 46.5, 54.4
  I do not work in the Division of Enforcement 32.9 30.1, 35.7
C Supervisors Yes 18.3 11.5, 27.0
  No 46.7 37.9, 55.4
  I do not work in the Division of Enforcement 35.0 27.5, 42.5
D Corporation Finance Yes 0.0 0.0, 4.5
  No 1.5 0.0, 8.3
  I do not work in the Division of Enforcement 98.5 91.7,100.0
E Division of Economic and Risk Analysis Yes 0.0 0.0, 8.0
  No 0.0 0.0, 8.0
  I do not work in the Division of Enforcement 100.0 92.0,100.0
F Enforcement Yes 31.8 25.2, 38.3
  No 67.5 60.9, 74.2
  I do not work in the Division of Enforcement 0.7 0.0, 3.7
G Investment Management Yes 0.0 0.0, 7.2
  No 5.0 0.6, 16.9
  I do not work in the Division of Enforcement 95.0 90.3, 99.7
H Office of the Chief Accountant and Office of Credit Ratings Yes 0.0 0.0, 12.7
  No 9.1 1.1, 29.2
  I do not work in the Division of Enforcement 90.9 70.8, 98.9
I Compliance Inspections and Examinations Yes 17.5 11.7, 24.8
  No 75.8 67.9, 82.6
  I do not work in the Division of Enforcement 6.6 3.1, 12.3
J Information Technology Yes 0.0 0.0, 7.2
  No 7.5 1.6, 20.4
  I do not work in the Division of Enforcement 92.5 79.6, 98.4
K Trading and Markets Yes 0.0 0.0, 7.0
  No 7.3 1.5, 19.9
  I do not work in the Division of Enforcement 92.7 80.1, 98.5
L Enforcement Regional Offices Yes 31.4 22.6, 40.2
  No 67.4 58.5, 76.4
  I do not work in the Division of Enforcement 1.2 0.0, 6.3
M Enforcement Headquarters Yes 32.3 21.2, 45.1
  No 67.7 54.9, 78.8
  I do not work in the Division of Enforcement 0.0 0.0, 4.5
N Compliance Inspections and Examinations Regional Offices Yes 6.3 2.1, 14.2
  No 86.1 76.5, 92.8
  I do not work in the Division of Enforcement 7.6 2.8, 15.8
O Compliance Inspections and Examinations Headquarters Yes 58.1 48.8, 67.4
  No 38.7 29.5, 47.9
  I do not work in the Division of Enforcement 3.2 0.4, 11.2

33. In which location or regional office do you work?

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
All Respondents Washington, D.C. (Headquarters) 48.6 46.1, 51.1
  Atlanta 2.1 1.0, 3.8
  Boston 4.6 2.9, 6.9
  Chicago 7.1 5.0, 9.8
  Denver 2.6 1.4, 4.4
  Fort Worth 1.3 0.5, 2.8
  Los Angeles 5.3 3.5, 7.7
  Miami 2.7 1.4, 4.5
  New York 15.4 12.4, 18.4
  Philadelphia 5.5 3.6, 8.0
  Salt Lake 0.4 0.0, 1.3
  San Francisco 4.5 2.8, 6.8
B Entry or Mid-Level Non-Supervisors Washington, D.C. (Headquarters) 48.7 45.6, 51.9
  Atlanta 2.2 1.0, 4.2
  Boston 3.4 1.8, 5.6
  Chicago 6.5 4.3, 9.5
  Denver 2.5 1.2, 4.6
  Fort Worth 1.2 0.4, 2.8
  Los Angeles 5.6 3.6, 8.4
  Miami 2.6 1.3, 4.7
  New York 15.3 11.9, 18.6
  Philadelphia 5.7 3.6, 8.6
  Salt Lake 0.4 0.1, 1.6
  San Francisco 5.6 3.5, 8.4
C Supervisors Washington, D.C. (Headquarters) 48.0 39.9, 56.1
  Atlanta 1.5 0.1, 7.3
  Boston 9.5 4.3, 17.6
  Chicago 9.4 4.4, 17.0
  Denver 2.8 0.5, 8.8
  Fort Worth 1.5 0.1, 7.3
  Los Angeles 4.0 1.0, 10.3
  Miami 2.8 0.5, 8.8
  New York 15.8 9.5, 24.0
  Philadelphia 4.6 1.2, 11.8
  Salt Lake 0.0 0.0, 2.7
  San Francisco 0.0 0.0, 2.7
D Corporation Finance Washington, D.C. (Headquarters) 100.0 95.9,100.0
  Atlanta 0.0 0.0, 4.1
  Boston 0.0 0.0, 4.1
  Chicago 0.0 0.0, 4.1
  Denver 0.0 0.0, 4.1
  Fort Worth 0.0 0.0, 4.1
  Los Angeles 0.0 0.0, 4.1
  Miami 0.0 0.0, 4.1
  New York 0.0 0.0, 4.1
  Philadelphia 0.0 0.0, 4.1
  Salt Lake 0.0 0.0, 4.1
  San Francisco 0.0 0.0, 4.1
E Division of Economic and Risk Analysis Washington, D.C. (Headquarters) 81.1 64.8, 92.0
  Atlanta 0.0 0.0, 7.8
  Boston 5.4 0.7, 18.2
  Chicago 5.4 0.7, 18.2
  Denver 0.0 0.0, 7.8
  Fort Worth 0.0 0.0, 7.8
  Los Angeles 0.0 0.0, 7.8
  Miami 0.0 0.0, 7.8
  New York 2.7 0.1, 14.2
  Philadelphia 0.0 0.0, 7.8
  Salt Lake 0.0 0.0, 7.8
  San Francisco 5.4 0.7, 18.2
F Enforcement Washington, D.C. (Headquarters) 34.7 30.3, 39.2
  Atlanta 4.2 1.6, 8.8
  Boston 4.9 2.1, 9.7
  Chicago 7.7 4.0, 13.2
  Denver 4.7 1.9, 9.4
  Fort Worth 2.8 0.8, 6.9
  Los Angeles 10.4 6.1, 16.5
  Miami 5.5 2.5, 10.5
  New York 16.1 10.6, 22.9
  Philadelphia 4.0 1.5, 8.5
  Salt Lake 0.7 0.0, 3.7
  San Francisco 4.1 1.6, 8.6
G Investment Management Washington, D.C. (Headquarters) 95.5 84.5, 99.4
  Atlanta 0.0 0.0, 6.6
  Boston 0.0 0.0, 6.6
  Chicago 0.0 0.0, 6.6
  Denver 0.0 0.0, 6.6
  Fort Worth 0.0 0.0, 6.6
  Los Angeles 0.0 0.0, 6.6
  Miami 0.0 0.0, 6.6
  New York 4.5 0.6, 15.5
  Philadelphia 0.0 0.0, 6.6
  Salt Lake 0.0 0.0, 6.6
  San Francisco 0.0 0.0, 6.6
H Office of the Chief Accountant and Office of Credit Ratings Washington, D.C. (Headquarters) . Data Not Reported
  Atlanta 0.0 0.0, 12.7
  Boston 0.0 0.0, 12.7
  Chicago 0.0 0.0, 12.7
  Denver 0.0 0.0, 12.7
  Fort Worth 0.0 0.0, 12.7
  Los Angeles 0.0 0.0, 12.7
  Miami 0.0 0.0, 12.7
  New York . Data Not Reported
  Philadelphia 0.0 0.0, 12.7
  Salt Lake 0.0 0.0, 12.7
  San Francisco 0.0 0.0, 12.7
I Compliance Inspections and Examinations Washington, D.C. (Headquarters) 13.8 8.5, 20.6
  Atlanta 2.0 0.3, 6.4
  Boston 8.7 4.5, 14.9
  Chicago 13.7 8.3, 20.9
  Denver 3.0 0.8, 7.8
  Fort Worth 1.0 0.0, 4.8
  Los Angeles 5.4 2.2, 10.8
  Miami 2.4 0.5, 6.5
  New York 27.0 19.7, 34.3
  Philadelphia 13.4 8.0, 20.5
  Salt Lake 0.4 0.0, 3.9
  San Francisco 9.4 4.9, 15.8
J Information Technology Washington, D.C. (Headquarters) 100.0 93.1,100.0
  Atlanta 0.0 0.0, 6.9
  Boston 0.0 0.0, 6.9
  Chicago 0.0 0.0, 6.9
  Denver 0.0 0.0, 6.9
  Fort Worth 0.0 0.0, 6.9
  Los Angeles 0.0 0.0, 6.9
  Miami 0.0 0.0, 6.9
  New York 0.0 0.0, 6.9
  Philadelphia 0.0 0.0, 6.9
  Salt Lake 0.0 0.0, 6.9
  San Francisco 0.0 0.0, 6.9
K Trading and Markets Washington, D.C. (Headquarters) 93.5 82.1, 98.6
  Atlanta 0.0 0.0, 6.3
  Boston 0.0 0.0, 6.3
  Chicago 0.0 0.0, 6.3
  Denver 0.0 0.0, 6.3
  Fort Worth 0.0 0.0, 6.3
  Los Angeles 0.0 0.0, 6.3
  Miami 0.0 0.0, 6.3
  New York 6.5 1.4, 17.9
  Philadelphia 0.0 0.0, 6.3
  Salt Lake 0.0 0.0, 6.3
  San Francisco 0.0 0.0, 6.3
L Enforcement Regional Offices Washington, D.C. (Headquarters) 0.0 0.0, 3.4
  Atlanta 7.0 2.6, 14.6
  Boston 8.1 3.3, 16.1
  Chicago 12.8 6.6, 21.7
  Denver 5.8 1.9, 13.0
  Fort Worth 4.7 1.3, 11.5
  Los Angeles 16.3 9.2, 25.8
  Miami 8.1 3.3, 16.1
  New York 25.6 16.8, 36.1
  Philadelphia 4.7 1.3, 11.5
  Salt Lake 1.2 0.0, 6.3
  San Francisco 5.8 1.9, 13.0
M Enforcement Headquarters Washington, D.C. (Headquarters) 87.7 77.2, 94.5
  Atlanta 0.0 0.0, 4.5
  Boston 0.0 0.0, 4.5
  Chicago 0.0 0.0, 4.5
  Denver 3.1 0.4, 10.7
  Fort Worth 0.0 0.0, 4.5
  Los Angeles 1.5 0.0, 8.3
  Miami 1.5 0.0, 8.3
  New York 1.5 0.0, 8.3
  Philadelphia 3.1 0.4, 10.7
  Salt Lake 0.0 0.0, 4.5
  San Francisco 1.5 0.0, 8.3
N Compliance Inspections and Examinations Regional Offices Washington, D.C. (Headquarters) 0.0 0.0, 3.8
  Atlanta 2.6 0.3, 9.0
  Boston 10.3 4.5, 19.2
  Chicago 16.7 9.2, 26.8
  Denver 3.8 0.8, 10.8
  Fort Worth 1.3 0.0, 6.9
  Los Angeles 6.4 2.1, 14.3
  Miami 2.6 0.3, 9.0
  New York 28.2 18.6, 39.5
  Philadelphia 16.7 9.2, 26.8
  Salt Lake 0.0 0.0, 3.8
  San Francisco 11.5 5.4, 20.8
O Compliance Inspections and Examinations Headquarters Washington, D.C. (Headquarters) 62.9 53.8, 72.0
  Atlanta 0.0 0.0, 4.7
  Boston 3.2 0.4, 11.2
  Chicago 3.2 0.4, 11.2
  Denver 0.0 0.0, 4.7
  Fort Worth 0.0 0.0, 4.7
  Los Angeles 1.6 0.0, 8.7
  Miami 1.6 0.0, 8.7
  New York 22.6 12.9, 35.0
  Philadelphia 1.6 0.0, 8.7
  Salt Lake 1.6 0.0, 8.7
  San Francisco 1.6 0.0, 8.7

34. Which of the following best describes your position?

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
All Respondents Accountant 19.0 16.0, 21.9
  Attorney 46.1 42.8, 49.4
  Examiner 14.0 11.3, 16.8
  Financial Economist 2.7 1.5, 4.5
  Branch Chief 3.0 1.7, 4.8
  Exam Manager 5.4 3.5, 7.7
  Assistant Director 5.3 3.6, 7.6
  IT Specialist 3.9 2.5, 5.9
  Other 0.5 0.1, 1.6
B Entry or Mid-Level Non-Supervisors Accountant 20.2 16.8, 23.6
  Attorney 53.6 49.8, 57.4
  Examiner 17.1 13.8, 20.3
  Financial Economist 3.4 1.9, 5.6
  Branch Chief 0.3 0.0, 1.5
  Exam Manager 0.0 0.0, 0.7
  Assistant Director 0.0 0.0, 0.7
  IT Specialist 4.8 3.0, 7.2
  Other 0.7 0.1, 2.0
C Supervisors Accountant 14.0 8.2, 21.9
  Attorney 16.4 10.1, 24.7
  Examiner 2.1 0.3, 7.2
  Financial Economist 0.0 0.0, 2.7
  Branch Chief 13.7 7.9, 21.5
  Exam Manager 26.6 18.6, 36.0
  Assistant Director 26.6 18.6, 35.8
  IT Specialist 0.6 0.0, 4.9
  Other 0.0 0.0, 2.7
D Corporation Finance Accountant 54.2 44.4, 63.9
  Attorney 36.1 26.7, 45.5
  Examiner 0.0 0.0, 4.1
  Financial Economist 0.0 0.0, 4.1
  Branch Chief 5.6 1.5, 13.6
  Exam Manager 0.0 0.0, 4.1
  Assistant Director 4.2 0.9, 11.7
  IT Specialist 0.0 0.0, 4.1
  Other 0.0 0.0, 4.1
E Division of Economic and Risk Analysis Accountant 0.0 0.0, 7.8
  Attorney 8.1 1.7, 21.9
  Examiner 0.0 0.0, 7.8
  Financial Economist 78.4 61.8, 90.2
  Branch Chief 0.0 0.0, 7.8
  Exam Manager 0.0 0.0, 7.8
  Assistant Director 8.1 1.7, 21.9
  IT Specialist 0.0 0.0, 7.8
  Other 5.4 0.7, 18.2
F Enforcement Accountant 10.7 6.3, 16.8
  Attorney 79.2 71.8, 85.4
  Examiner 0.6 0.0, 3.7
  Financial Economist 0.0 0.0, 2.0
  Branch Chief 0.7 0.0, 3.7
  Exam Manager 0.0 0.0, 2.0
  Assistant Director 8.0 4.2, 13.6
  IT Specialist 0.0 0.0, 2.0
  Other 0.7 0.0, 3.7
G Investment Management Accountant 13.6 5.2, 27.4
  Attorney 77.3 62.2, 88.5
  Examiner 0.0 0.0, 6.6
  Financial Economist 0.0 0.0, 6.6
  Branch Chief 4.5 0.6, 15.5
  Exam Manager 0.0 0.0, 6.6
  Assistant Director 4.5 0.6, 15.5
  IT Specialist 0.0 0.0, 6.6
  Other 0.0 0.0, 6.6
H Office of the Chief Accountant and Office of Credit Ratings Accountant . Data Not Reported
  Attorney . Data Not Reported
  Examiner . Data Not Reported
  Financial Economist 0.0 0.0, 13.3
  Branch Chief 9.5 1.2, 30.4
  Exam Manager 0.0 0.0, 13.3
  Assistant Director 0.0 0.0, 13.3
  IT Specialist 0.0 0.0, 13.3
  Other 0.0 0.0, 13.3
I Compliance Inspections and Examinations Accountant 19.7 13.5, 27.2
  Attorney 13.9 8.6, 20.7
  Examiner 43.7 35.6, 51.8
  Financial Economist 0.0 0.0, 2.1
  Branch Chief 1.0 0.0, 4.8
  Exam Manager 17.3 11.4, 24.7
  Assistant Director 4.1 1.5, 8.8
  IT Specialist 0.0 0.0, 2.1
  Other 0.3 0.0, 3.9
J Information Technology Accountant 0.0 0.0, 6.7
  Attorney 0.0 0.0, 6.7
  Examiner 0.0 0.0, 6.7
  Financial Economist 0.0 0.0, 6.7
  Branch Chief 20.9 10.0, 36.0
  Exam Manager 0.0 0.0, 6.7
  Assistant Director 0.0 0.0, 6.7
  IT Specialist 79.1 64.0, 90.0
  Other 0.0 0.0, 6.7
K Trading and Markets Accountant 6.7 1.4, 18.3
  Attorney 82.2 67.9, 92.0
  Examiner 0.0 0.0, 6.4
  Financial Economist 2.2 0.1, 11.8
  Branch Chief 4.4 0.5, 15.1
  Exam Manager 0.0 0.0, 6.4
  Assistant Director 4.4 0.5, 15.1
  IT Specialist 0.0 0.0, 6.4
  Other 0.0 0.0, 6.4
L Enforcement Regional Offices Accountant 11.6 5.7, 20.3
  Attorney 77.9 67.7, 86.1
  Examiner 0.0 0.0, 3.4
  Financial Economist 0.0 0.0, 3.4
  Branch Chief 1.2 0.0, 6.3
  Exam Manager 0.0 0.0, 3.4
  Assistant Director 8.1 3.3, 16.1
  IT Specialist 0.0 0.0, 3.4
  Other 1.2 0.0, 6.3
M Enforcement Headquarters Accountant 9.4 3.5, 19.3
  Attorney 81.2 69.5, 89.9
  Examiner 1.6 0.0, 8.4
  Financial Economist 0.0 0.0, 4.6
  Branch Chief 0.0 0.0, 4.6
  Exam Manager 0.0 0.0, 4.6
  Assistant Director 7.8 2.6, 17.3
  IT Specialist 0.0 0.0, 4.6
  Other 0.0 0.0, 4.6
N Compliance Inspections and Examinations Regional Offices Accountant 20.3 12.0, 30.8
  Attorney 10.1 4.5, 19.0
  Examiner 46.8 36.8, 56.8
  Financial Economist 0.0 0.0, 3.7
  Branch Chief 1.3 0.0, 6.9
  Exam Manager 19.0 11.0, 29.4
  Assistant Director 2.5 0.3, 8.8
  IT Specialist 0.0 0.0, 3.7
  Other 0.0 0.0, 3.7
O Compliance Inspections and Examinations Headquarters Accountant 17.7 9.2, 29.5
  Attorney 27.4 16.9, 40.2
  Examiner 32.3 20.9, 45.3
  Financial Economist 0.0 0.0, 4.7
  Branch Chief 0.0 0.0, 4.7
  Exam Manager 11.3 4.7, 21.9
  Assistant Director 9.7 3.6, 19.9
  IT Specialist 0.0 0.0, 4.7
  Other 1.6 0.0, 8.7

Please specify your position:

data intentionally not reported


35. What is your current level or grade?

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
All Respondents SK-11 or lower 0.1 0.0, 1.0
  SK-12 0.3 0.0, 1.2
  SK-13 3.9 2.5, 5.9
  SK-14 62.0 58.2, 65.8
  SK-15 11.5 8.9, 14.0
  SK-16 13.0 10.5, 15.5
  SK-17 9.2 6.9, 12.0
B Entry or Mid-Level Non-Supervisors SK-11 or lower 0.1 0.0, 1.3
  SK-12 0.4 0.0, 1.5
  SK-13 4.9 3.1, 7.4
  SK-14 77.4 73.9, 80.9
  SK-15 1.8 0.7, 3.5
  SK-16 15.2 12.3, 18.2
  SK-17 0.1 0.0, 1.3
C Supervisors SK-11 or lower 0.0 0.0, 2.7
  SK-12 0.0 0.0, 2.7
  SK-13 0.0 0.0, 2.7
  SK-14 0.5 0.0, 5.1
  SK-15 50.2 41.5, 58.8
  SK-16 3.9 1.1, 9.5
  SK-17 45.4 36.8, 54.0
D Corporation Finance SK-11 or lower 0.0 0.0, 4.2
  SK-12 1.4 0.0, 7.7
  SK-13 1.4 0.0, 7.7
  SK-14 75.7 64.0, 85.2
  SK-15 10.0 4.1, 19.5
  SK-16 4.3 0.9, 12.0
  SK-17 7.1 2.4, 15.9
E Division of Economic and Risk Analysis SK-11 or lower 2.7 0.1, 14.2
  SK-12 0.0 0.0, 7.8
  SK-13 16.2 6.2, 32.0
  SK-14 . Data Not Reported
  SK-15 0.0 0.0, 7.8
  SK-16 16.2 6.2, 32.0
  SK-17 10.8 3.0, 25.4
F Enforcement SK-11 or lower 0.0 0.0, 2.0
  SK-12 0.0 0.0, 2.0
  SK-13 0.6 0.0, 3.7
  SK-14 62.5 55.6, 69.3
  SK-15 4.0 1.5, 8.6
  SK-16 19.4 13.4, 26.7
  SK-17 13.5 8.4, 20.0
G Investment Management SK-11 or lower 0.0 0.0, 6.6
  SK-12 0.0 0.0, 6.6
  SK-13 0.0 0.0, 6.6
  SK-14 68.2 52.4, 81.4
  SK-15 13.6 5.2, 27.4
  SK-16 13.6 5.2, 27.4
  SK-17 4.5 0.6, 15.5
H Office of the Chief Accountant and Office of Credit Ratings SK-11 or lower 0.0 0.0, 13.3
  SK-12 0.0 0.0, 13.3
  SK-13 0.0 0.0, 13.3
  SK-14 . Data Not Reported
  SK-15 9.5 1.2, 30.4
  SK-16 . Data Not Reported
  SK-17 . Data Not Reported
I Compliance Inspections and Examinations SK-11 or lower 0.0 0.0, 2.1
  SK-12 0.4 0.0, 4.0
  SK-13 5.8 2.5, 11.2
  SK-14 58.5 50.4, 66.5
  SK-15 20.1 13.7, 27.8
  SK-16 8.4 4.3, 14.3
  SK-17 6.9 3.3, 12.5
J Information Technology SK-11 or lower 0.0 0.0, 6.9
  SK-12 0.0 0.0, 6.9
  SK-13 19.0 8.6, 34.1
  SK-14 . Data Not Reported
  SK-15 23.8 12.1, 39.5
  SK-16 0.0 0.0, 6.9
  SK-17 0.0 0.0, 6.9
K Trading and Markets SK-11 or lower 0.0 0.0, 6.7
  SK-12 0.0 0.0, 6.7
  SK-13 4.7 0.6, 15.8
  SK-14 . Data Not Reported
  SK-15 9.3 2.6, 22.1
  SK-16 14.0 5.3, 27.9
  SK-17 9.3 2.6, 22.1
L Enforcement Regional Offices SK-11 or lower 0.0 0.0, 3.5
  SK-12 0.0 0.0, 3.5
  SK-13 0.0 0.0, 3.5
  SK-14 65.9 56.8, 75.0
  SK-15 3.5 0.7, 10.0
  SK-16 17.6 10.2, 27.4
  SK-17 12.9 6.6, 22.0
M Enforcement Headquarters SK-11 or lower 0.0 0.0, 4.6
  SK-12 0.0 0.0, 4.6
  SK-13 1.6 0.0, 8.5
  SK-14 57.1 46.7, 67.6
  SK-15 4.8 1.0, 13.3
  SK-16 22.2 12.7, 34.5
  SK-17 14.3 6.7, 25.4
N Compliance Inspections and Examinations Regional Offices SK-11 or lower 0.0 0.0, 3.8
  SK-12 0.0 0.0, 3.8
  SK-13 6.5 2.1, 14.5
  SK-14 61.0 51.1, 70.9
  SK-15 22.1 13.4, 33.0
  SK-16 5.2 1.4, 12.8
  SK-17 5.2 1.4, 12.8
O Compliance Inspections and Examinations Headquarters SK-11 or lower 0.0 0.0, 4.8
  SK-12 1.6 0.0, 8.8
  SK-13 3.3 0.4, 11.3
  SK-14 49.2 39.7, 58.7
  SK-15 13.1 5.8, 24.2
  SK-16 19.7 10.6, 31.8
  SK-17 13.1 5.8, 24.2

36. How long have you worked for the SEC (please include total years of service with SEC if you left SEC and came back again)?

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
All Respondents Less than 1 year 0.7 0.2, 1.9
  1 to less than 2 years 0.2 0.0, 1.0
  2 to less than 3 years 5.2 3.5, 7.4
  3 to less than 5 years 17.9 14.8, 20.9
  5 to less than 10 years 22.6 19.5, 25.8
  10 to less than 15 years 17.5 14.5, 20.5
  15 to less than 20 years 18.5 15.4, 21.6
  More than 20 years 17.3 14.4, 20.3
B Entry or Mid-Level Non-Supervisors Less than 1 year 0.8 0.2, 2.1
  1 to less than 2 years 0.2 0.0, 1.3
  2 to less than 3 years 6.4 4.3, 9.1
  3 to less than 5 years 21.6 17.9, 25.2
  5 to less than 10 years 23.3 19.7, 26.9
  10 to less than 15 years 18.3 14.8, 21.7
  15 to less than 20 years 14.4 11.3, 17.5
  More than 20 years 15.0 12.0, 18.1
C Supervisors Less than 1 year 0.6 0.0, 5.0
  1 to less than 2 years 0.0 0.0, 2.7
  2 to less than 3 years 0.6 0.0, 5.0
  3 to less than 5 years 3.2 0.8, 8.5
  5 to less than 10 years 19.9 12.9, 28.6
  10 to less than 15 years 14.6 8.6, 22.6
  15 to less than 20 years 34.7 26.1, 43.4
  More than 20 years 26.4 18.5, 35.7
D Corporation Finance Less than 1 year 0.0 0.0, 4.1
  1 to less than 2 years 0.0 0.0, 4.1
  2 to less than 3 years 1.4 0.0, 7.5
  3 to less than 5 years 6.9 2.3, 15.5
  5 to less than 10 years 20.8 12.2, 32.0
  10 to less than 15 years 29.2 19.0, 41.1
  15 to less than 20 years 19.4 11.1, 30.5
  More than 20 years 22.2 13.3, 33.6
E Division of Economic and Risk Analysis Less than 1 year 5.6 0.7, 18.7
  1 to less than 2 years 2.8 0.1, 14.5
  2 to less than 3 years 16.7 6.4, 32.8
  3 to less than 5 years . Data Not Reported
  5 to less than 10 years . Data Not Reported
  10 to less than 15 years 8.3 1.8, 22.5
  15 to less than 20 years 0.0 0.0, 8.0
  More than 20 years 5.6 0.7, 18.7
F Enforcement Less than 1 year 0.0 0.0, 2.1
  1 to less than 2 years 0.0 0.0, 2.1
  2 to less than 3 years 4.8 1.9, 9.6
  3 to less than 5 years 18.8 12.8, 26.2
  5 to less than 10 years 26.2 19.8, 32.5
  10 to less than 15 years 17.5 11.6, 24.7
  15 to less than 20 years 17.4 11.6, 24.5
  More than 20 years 15.4 10.0, 22.4
G Investment Management Less than 1 year 2.3 0.1, 12.0
  1 to less than 2 years 0.0 0.0, 6.6
  2 to less than 3 years 4.5 0.6, 15.5
  3 to less than 5 years 11.4 3.8, 24.6
  5 to less than 10 years 18.2 8.2, 32.7
  10 to less than 15 years 18.2 8.2, 32.7
  15 to less than 20 years 11.4 3.8, 24.6
  More than 20 years 34.1 20.5, 49.9
H Office of the Chief Accountant and Office of Credit Ratings Less than 1 year 9.5 1.2, 30.4
  1 to less than 2 years 4.8 0.1, 23.8
  2 to less than 3 years . Data Not Reported
  3 to less than 5 years 4.8 0.1, 23.8
  5 to less than 10 years . Data Not Reported
  10 to less than 15 years . Data Not Reported
  15 to less than 20 years . Data Not Reported
  More than 20 years 0.0 0.0, 13.3
I Compliance Inspections and Examinations Less than 1 year 0.0 0.0, 2.1
  1 to less than 2 years 0.0 0.0, 2.1
  2 to less than 3 years 5.0 2.1, 10.0
  3 to less than 5 years 20.7 14.3, 28.3
  5 to less than 10 years 16.5 10.8, 23.7
  10 to less than 15 years 16.3 10.6, 23.5
  15 to less than 20 years 23.7 17.0, 31.6
  More than 20 years 17.7 11.8, 25.0
J Information Technology Less than 1 year 4.5 0.6, 15.5
  1 to less than 2 years 0.0 0.0, 6.6
  2 to less than 3 years 6.8 1.4, 18.7
  3 to less than 5 years 20.5 9.8, 35.3
  5 to less than 10 years 31.8 18.6, 47.6
  10 to less than 15 years 4.5 0.6, 15.5
  15 to less than 20 years 15.9 6.6, 30.1
  More than 20 years 15.9 6.6, 30.1
K Trading and Markets Less than 1 year 0.0 0.0, 6.6
  1 to less than 2 years 0.0 0.0, 6.6
  2 to less than 3 years 6.8 1.4, 18.7
  3 to less than 5 years 20.5 9.8, 35.3
  5 to less than 10 years 27.3 15.0, 42.8
  10 to less than 15 years 15.9 6.6, 30.1
  15 to less than 20 years 13.6 5.2, 27.4
  More than 20 years 15.9 6.6, 30.1
L Enforcement Regional Offices Less than 1 year 0.0 0.0, 3.6
  1 to less than 2 years 0.0 0.0, 3.6
  2 to less than 3 years 3.7 0.8, 10.4
  3 to less than 5 years 19.8 11.7, 30.1
  5 to less than 10 years 23.5 14.8, 34.2
  10 to less than 15 years 18.5 10.8, 28.7
  15 to less than 20 years 17.3 9.8, 27.3
  More than 20 years 17.3 9.8, 27.3
M Enforcement Headquarters Less than 1 year 0.0 0.0, 4.6
  1 to less than 2 years 0.0 0.0, 4.6
  2 to less than 3 years 6.3 1.8, 15.5
  3 to less than 5 years 17.5 9.1, 29.1
  5 to less than 10 years 30.2 19.2, 43.0
  10 to less than 15 years 15.9 7.9, 27.3
  15 to less than 20 years 17.5 9.1, 29.1
  More than 20 years 12.7 5.6, 23.5
N Compliance Inspections and Examinations Regional Offices Less than 1 year 0.0 0.0, 3.7
  1 to less than 2 years 0.0 0.0, 3.7
  2 to less than 3 years 5.1 1.4, 12.5
  3 to less than 5 years 21.5 13.1, 32.2
  5 to less than 10 years 13.9 7.2, 23.5
  10 to less than 15 years 17.7 10.0, 27.9
  15 to less than 20 years 24.1 15.1, 35.0
  More than 20 years 17.7 10.0, 27.9
O Compliance Inspections and Examinations Headquarters Less than 1 year 0.0 0.0, 4.7
  1 to less than 2 years 0.0 0.0, 4.7
  2 to less than 3 years 4.8 1.0, 13.5
  3 to less than 5 years 17.7 9.2, 29.5
  5 to less than 10 years 25.8 15.5, 38.5
  10 to less than 15 years 11.3 4.7, 21.9
  15 to less than 20 years 22.6 12.9, 35.0
  More than 20 years 17.7 9.2, 29.5

37. How many years did you work outside of SEC, but in a position related to the type of work SEC conducts or that dealt with issues SEC covers?

  Question
Choices
Estimated
Percentage
95 Percent
Confidence Interval
All Respondents No related outside employment 11.8 9.3, 14.3
  Less than 1 year 2.6 1.4, 4.3
  1 to less than 2 years 6.4 4.5, 8.7
  2 to less than 3 years 6.2 4.4, 8.6
  3 to less than 5 years 11.5 9.1, 13.9
  5 to less than 10 years 31.1 27.5, 34.6
  10 to less than 15 years 18.4 15.4, 21.4
  15 to less than 20 years 6.9 5.0, 9.4
  More than 20 years 5.2 3.5, 7.4
B Entry or Mid-Level Non-Supervisors No related outside employment 10.7 8.0, 14.0
  Less than 1 year 3.1 1.7, 5.2
  1 to less than 2 years 6.1 4.0, 8.7
  2 to less than 3 years 5.7 3.8, 8.3
  3 to less than 5 years 11.3 8.5, 14.7
  5 to less than 10 years 30.8 26.8, 34.8
  10 to less than 15 years 19.2 15.7, 22.7
  15 to less than 20 years 7.8 5.5, 10.8
  More than 20 years 5.2 3.4, 7.7
C Supervisors No related outside employment 15.8 9.5, 24.2
  Less than 1 year 0.5 0.0, 4.9
  1 to less than 2 years 7.5 3.4, 14.0
  2 to less than 3 years 8.1 3.8, 15.0
  3 to less than 5 years 12.2 6.8, 19.8
  5 to less than 10 years 32.2 24.2, 40.2
  10 to less than 15 years 15.3 9.2, 23.3
  15 to less than 20 years 3.3 0.9, 8.6
  More than 20 years 4.9 1.7, 10.7
D Corporation Finance No related outside employment 11.1 4.9, 20.7
  Less than 1 year 2.8 0.3, 9.7
  1 to less than 2 years 8.3 3.1, 17.3
  2 to less than 3 years 1.4 0.0, 7.5
  3 to less than 5 years 9.7 4.0, 19.0
  5 to less than 10 years 36.1 26.7, 45.5
  10 to less than 15 years 20.8 12.2, 32.0
  15 to less than 20 years 8.3 3.1, 17.3
  More than 20 years 1.4 0.0, 7.5
E Division of Economic and Risk Analysis No related outside employment 13.5 4.5, 28.8
  Less than 1 year 0.0 0.0, 7.8
  1 to less than 2 years 0.0 0.0, 7.8
  2 to less than 3 years 8.1 1.7, 21.9
  3 to less than 5 years 21.6 9.8, 38.2
  5 to less than 10 years . Data Not Reported
  10 to less than 15 years 18.9 8.0, 35.2
  15 to less than 20 years 10.8 3.0, 25.4
  More than 20 years 0.0 0.0, 7.8
F Enforcement No related outside employment 8.0 4.2, 13.6
  Less than 1 year 1.8 0.3, 5.5
  1 to less than 2 years 3.3 1.0, 7.5
  2 to less than 3 years 6.7 3.3, 11.9
  3 to less than 5 years 10.7 6.2, 16.7
  5 to less than 10 years 40.4 33.5, 47.4
  10 to less than 15 years 18.6 12.7, 25.7
  15 to less than 20 years 7.8 4.1, 13.3
  More than 20 years 2.7 0.8, 6.8
G Investment Management No related outside employment 13.6 5.2, 27.4
  Less than 1 year 4.5 0.6, 15.5
  1 to less than 2 years 4.5 0.6, 15.5
  2 to less than 3 years 4.5 0.6, 15.5
  3 to less than 5 years 22.7 11.5, 37.8
  5 to less than 10 years 27.3 15.0, 42.8
  10 to less than 15 years 11.4 3.8, 24.6
  15 to less than 20 years 4.5 0.6, 15.5
  More than 20 years 6.8 1.4, 18.7
H Office of the Chief Accountant and Office of Credit Ratings No related outside employment 0.0 0.0, 13.3
  Less than 1 year 0.0 0.0, 13.3
  1 to less than 2 years 4.8 0.1, 23.8
  2 to less than 3 years 0.0 0.0, 13.3
  3 to less than 5 years 4.8 0.1, 23.8
  5 to less than 10 years . Data Not Reported
  10 to less than 15 years . Data Not Reported
  15 to less than 20 years 4.8 0.1, 23.8
  More than 20 years 9.5 1.2, 30.4
I Compliance Inspections and Examinations No related outside employment 15.7 10.2, 22.8
  Less than 1 year 2.7 0.7, 6.9
  1 to less than 2 years 9.3 5.1, 15.4
  2 to less than 3 years 8.7 4.6, 14.7
  3 to less than 5 years 11.1 6.4, 17.5
  5 to less than 10 years 21.5 15.0, 29.2
  10 to less than 15 years 18.0 12.1, 25.4
  15 to less than 20 years 6.3 2.8, 12.0
  More than 20 years 6.6 3.1, 12.3
J Information Technology No related outside employment 20.5 9.8, 35.3
  Less than 1 year 2.3 0.1, 12.0
  1 to less than 2 years 0.0 0.0, 6.6
  2 to less than 3 years 2.3 0.1, 12.0
  3 to less than 5 years 2.3 0.1, 12.0
  5 to less than 10 years 18.2 8.2, 32.7
  10 to less than 15 years 29.5 16.8, 45.2
  15 to less than 20 years 4.5 0.6, 15.5
  More than 20 years 20.5 9.8, 35.3
K Trading and Markets No related outside employment 9.1 2.5, 21.7
  Less than 1 year 6.8 1.4, 18.7
  1 to less than 2 years 15.9 6.6, 30.1
  2 to less than 3 years 6.8 1.4, 18.7
  3 to less than 5 years 18.2 8.2, 32.7
  5 to less than 10 years 27.3 15.0, 42.8
  10 to less than 15 years 4.5 0.6, 15.5
  15 to less than 20 years 4.5 0.6, 15.5
  More than 20 years 6.8 1.4, 18.7
L Enforcement Regional Offices No related outside employment 8.1 3.3, 16.1
  Less than 1 year 0.0 0.0, 3.4
  1 to less than 2 years 2.3 0.3, 8.1
  2 to less than 3 years 7.0 2.6, 14.6
  3 to less than 5 years 10.5 4.9, 18.9
  5 to less than 10 years 45.3 35.9, 54.8
  10 to less than 15 years 17.4 10.1, 27.1
  15 to less than 20 years 5.8 1.9, 13.0
  More than 20 years 3.5 0.7, 9.9
M Enforcement Headquarters No related outside employment 7.8 2.6, 17.3
  Less than 1 year 4.7 1.0, 13.1
  1 to less than 2 years 4.7 1.0, 13.1
  2 to less than 3 years 6.2 1.7, 15.2
  3 to less than 5 years 10.9 4.5, 21.2
  5 to less than 10 years 32.8 21.6, 45.7
  10 to less than 15 years 20.3 11.3, 32.2
  15 to less than 20 years 10.9 4.5, 21.2
  More than 20 years 1.6 0.0, 8.4
N Compliance Inspections and Examinations Regional Offices No related outside employment 15.2 8.1, 25.0
  Less than 1 year 2.5 0.3, 8.8
  1 to less than 2 years 10.1 4.5, 19.0
  2 to less than 3 years 7.6 2.8, 15.8
  3 to less than 5 years 10.1 4.5, 19.0
  5 to less than 10 years 20.3 12.0, 30.8
  10 to less than 15 years 19.0 11.0, 29.4
  15 to less than 20 years 7.6 2.8, 15.8
  More than 20 years 7.6 2.8, 15.8
O Compliance Inspections and Examinations Headquarters No related outside employment 17.7 9.2, 29.5
  Less than 1 year 3.2 0.4, 11.2
  1 to less than 2 years 6.5 1.8, 15.7
  2 to less than 3 years 12.9 5.7, 23.9
  3 to less than 5 years 14.5 6.9, 25.8
  5 to less than 10 years 25.8 15.5, 38.5
  10 to less than 15 years 14.5 6.9, 25.8
  15 to less than 20 years 1.6 0.0, 8.7
  More than 20 years 3.2 0.4, 11.2

Section 7 - Comments and Final Response Submission

38. Please use the space below to provide any additional information about the SEC's human capital programs, workforce planning, performance management, and communication that you would like us to know about.

data intentionally not reported


39. Are you ready to submit your final completed survey to GAO?
(This is equivalent to mailing a completed paper survey to us. It tells us that your answers are official and final.)

Yes, my survey is complete - To submit your final responses, please click on "Exit and Save" below. No, my survey is not yet complete - To save your responses for later, please click on "Exit and Save" below. Total Number
of Survey Recipients
% %
64.2 35.8 877