Securities and Exchange Commission 

1st Level Subagency Comparison Report 
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Securities and Exchange Commission 

1st Level Subagency Comparison Report 

Response Summary 

Governmentwide 

Surveys 

Completed 

421,748 

Response 

Rate 

49.7% 

Securities and Exchange Commission 1,921 71.8% 

Division of Corporation Finance 274 61.4% 

Division of Economic Risk and Analysis 36 65.5% 

Division of Investment Management 28 60.9% 

Division of Trading and Markets 44 55.7% 

Executive Staff 12 48.0% 

National Enforcement Program 437 74.4% 

National Examination Program 507 73.4% 

Office of Acquisitions 37 86.0% 

Office of Chief Accountant 23 76.7% 

Office of Credit Ratings 22 75.9% 

Office of Financial Management 34 75.6% 

Office of General Counsel 43 65.2% 

Office of Human Resources 82 79.6% 

Office of Information Technology 27 69.2% 

Office of Inspector General 28 93.3% 

Office of International Affairs 39 81.3% 

Office of Investor Education and Advocacy 31 79.5% 

Office of Support Operations 35 79.5% 

Office of the Chief Operating Officer 15 78.9% 

Office of the Secretary 17 94.4% 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 36 73.5% 

Regional Operations 108 79.4% 

This 2015 Federal Employee Viewpoint Survey Report provides summary results for subagencies within your 

department or agency. The results include response percentages for each survey item. The definitions for the 

Positive, Neutral, and Negative response percentages vary in the following ways across the three primary 

response scales used in the survey: 

Positive: Strongly Agree and Agree / Very Satisfied and Satisfied / Very Good and Good 

Neutral: Neither Agree nor Disagree / Neither Satisfied nor Dissatisfied / Fair 

Negative: Disagree and Strongly Disagree / Dissatisfied and Very Dissatisfied / Poor and Very Poor 

Positive, Neutral, and Negative percentages are based on the total number of responses (N) that are in these three 

categories. The number of Do Not Know (DNK) or No Basis to Judge (NBJ) responses, where applicable, is 

listed separately. 

Note: Response rates are not calculated when there are fewer than 4 completed surveys. The report tables that 

follow do not include results for any subagency that had fewer than 10 completed surveys. 

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My Work Experience 

1. I am given a real opportunity to improve my skills in my organization. 

N Positive Neutral Negative 

Governmentwide 420,841 61.3% 16.6% 22.1% 

Securities and Exchange Commission 1,917 71.8% 12.1% 16.0% 

Division of Corporation Finance 272 72.3% 10.6% 17.1% 

Division of Economic Risk and Analysis 36 78.9% 6.5% 14.5% 

Division of Investment Management 28 59.5% 12.1% 28.4% 

Division of Trading and Markets 44 74.9% 16.6% 8.5% 

Executive Staff 12 90.5% 0.0% 9.5% 

National Enforcement Program 435 74.9% 10.8% 14.3% 

National Examination Program 507 68.0% 15.3% 16.7% 

Office of Acquisitions 37 77.8% 5.2% 17.0% 

Office of Chief Accountant 23 79.8% 7.7% 12.5% 

Office of Credit Ratings 22 51.8% 29.7% 18.5% 

Office of Financial Management 34 69.9% 7.8% 22.3% 

Office of General Counsel 43 50.2% 12.7% 37.1% 

Office of Human Resources 82 76.8% 8.6% 14.6% 

Office of Information Technology 27 74.8% 18.8% 6.4% 

Office of Inspector General 28 89.1% 7.1% 3.7% 

Office of International Affairs 39 67.0% 11.7% 21.3% 

Office of Investor Education and Advocacy 31 54.3% 27.1% 18.6% 

Office of Support Operations 35 71.4% 8.1% 20.5% 

Office of the Chief Operating Officer 15 78.4% 5.9% 15.7% 

Office of the Secretary 17 88.8% 0.0% 11.2% 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 36 86.5% 2.5% 11.0% 

Regional Operations 108 73.4% 13.0% 13.6% 

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My Work Experience (continued) 

2. I have enough information to do my job well. 

N Positive Neutral Negative 

Governmentwide 418,183 69.9% 15.0% 15.2% 

Securities and Exchange Commission 1,908 74.0% 12.9% 13.1% 

Division of Corporation Finance 270 77.0% 10.4% 12.7% 

Division of Economic Risk and Analysis 36 76.2% 13.8% 10.0% 

Division of Investment Management 28 59.0% 20.5% 20.5% 

Division of Trading and Markets 44 69.9% 14.3% 15.8% 

Executive Staff 12 100.0% 0.0% 0.0% 

National Enforcement Program 434 80.5% 10.0% 9.6% 

National Examination Program 505 68.5% 15.2% 16.3% 

Office of Acquisitions 35 73.8% 13.7% 12.5% 

Office of Chief Accountant 23 75.7% 8.5% 15.8% 

Office of Credit Ratings 22 62.1% 18.6% 19.3% 

Office of Financial Management 34 76.0% 11.2% 12.7% 

Office of General Counsel 43 64.5% 15.6% 19.9% 

Office of Human Resources 81 72.6% 17.2% 10.2% 

Office of Information Technology 27 62.7% 22.6% 14.7% 

Office of Inspector General 28 90.0% 10.0% 0.0% 

Office of International Affairs 39 66.9% 10.4% 22.7% 

Office of Investor Education and Advocacy 31 65.8% 15.8% 18.4% 

Office of Support Operations 35 79.5% 15.0% 5.5% 

Office of the Chief Operating Officer 15 72.1% 21.1% 6.8% 

Office of the Secretary 17 94.0% 6.0% 0.0% 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 36 72.9% 14.6% 12.5% 

Regional Operations 107 76.9% 7.6% 15.6% 

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My Work Experience (continued) 

3. I feel encouraged to come up with new and better ways of doing things. 

N Positive Neutral Negative 

Governmentwide 414,872 56.5% 18.3% 25.2% 

Securities and Exchange Commission 1,896 57.4% 16.3% 26.3% 

Division of Corporation Finance 271 48.5% 20.1% 31.4% 

Division of Economic Risk and Analysis 34 73.5% 8.4% 18.0% 

Division of Investment Management 28 46.7% 13.3% 40.0% 

Division of Trading and Markets 43 52.1% 12.5% 35.4% 

Executive Staff 12 76.1% 7.8% 16.1% 

National Enforcement Program 432 59.9% 16.3% 23.8% 

National Examination Program 501 54.3% 19.2% 26.4% 

Office of Acquisitions 37 72.9% 11.1% 16.0% 

Office of Chief Accountant 21 53.8% 24.2% 22.0% 

Office of Credit Ratings 22 33.1% 35.1% 31.8% 

Office of Financial Management 34 67.0% 11.1% 21.9% 

Office of General Counsel 43 43.6% 7.6% 48.8% 

Office of Human Resources 82 67.2% 12.1% 20.7% 

Office of Information Technology 27 59.6% 18.7% 21.7% 

Office of Inspector General 28 74.9% 22.0% 3.0% 

Office of International Affairs 38 66.4% 7.6% 26.0% 

Office of Investor Education and Advocacy 31 47.1% 10.7% 42.1% 

Office of Support Operations 34 64.3% 15.2% 20.5% 

Office of the Chief Operating Officer 15 84.3% 0.0% 15.7% 

Office of the Secretary 16 81.7% 18.3% 0.0% 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 36 71.8% 5.2% 23.0% 

Regional Operations 105 61.9% 20.1% 18.0% 

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My Work Experience (continued) 

4. My work gives me a feeling of personal accomplishment. 

N Positive Neutral Negative 

Governmentwide 418,769 70.4% 14.6% 14.9% 

Securities and Exchange Commission 1,911 75.7% 12.8% 11.5% 

Division of Corporation Finance 272 73.3% 16.4% 10.3% 

Division of Economic Risk and Analysis 36 84.8% 7.1% 8.1% 

Division of Investment Management 28 54.9% 17.3% 27.8% 

Division of Trading and Markets 44 68.2% 25.7% 6.1% 

Executive Staff 12 100.0% 0.0% 0.0% 

National Enforcement Program 435 81.7% 8.8% 9.5% 

National Examination Program 505 74.6% 16.0% 9.3% 

Office of Acquisitions 37 74.9% 11.3% 13.8% 

Office of Chief Accountant 22 74.4% 13.2% 12.4% 

Office of Credit Ratings 22 74.4% 16.1% 9.5% 

Office of Financial Management 34 76.4% 13.8% 9.8% 

Office of General Counsel 43 72.4% 2.5% 25.0% 

Office of Human Resources 82 70.3% 16.1% 13.6% 

Office of Information Technology 27 66.2% 11.6% 22.2% 

Office of Inspector General 28 79.1% 13.6% 7.2% 

Office of International Affairs 39 68.7% 17.5% 13.8% 

Office of Investor Education and Advocacy 31 63.7% 13.5% 22.8% 

Office of Support Operations 35 77.0% 12.0% 10.9% 

Office of the Chief Operating Officer 15 84.3% 0.0% 15.7% 

Office of the Secretary 17 88.8% 11.2% 0.0% 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 35 77.8% 10.7% 11.6% 

Regional Operations 106 80.7% 8.3% 11.0% 

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My Work Experience (continued) 

5. I like the kind of work I do. 

N Positive Neutral Negative 

Governmentwide 414,001 82.9% 10.9% 6.2% 

Securities and Exchange Commission 1,904 83.8% 9.7% 6.5% 

Division of Corporation Finance 272 85.1% 10.1% 4.9% 

Division of Economic Risk and Analysis 36 90.0% 8.4% 1.7% 

Division of Investment Management 27 69.9% 13.9% 16.2% 

Division of Trading and Markets 44 77.3% 19.6% 3.2% 

Executive Staff 11 90.7% 9.3% 0.0% 

National Enforcement Program 433 86.6% 7.9% 5.5% 

National Examination Program 502 84.6% 9.9% 5.6% 

Office of Acquisitions 37 70.4% 17.9% 11.7% 

Office of Chief Accountant 23 67.2% 25.1% 7.7% 

Office of Credit Ratings 22 75.3% 19.7% 5.0% 

Office of Financial Management 33 90.1% 0.0% 9.9% 

Office of General Counsel 43 77.5% 10.2% 12.3% 

Office of Human Resources 81 85.4% 8.2% 6.4% 

Office of Information Technology 27 81.4% 3.8% 14.7% 

Office of Inspector General 28 81.7% 10.6% 7.7% 

Office of International Affairs 39 81.3% 14.0% 4.7% 

Office of Investor Education and Advocacy 31 80.4% 16.4% 3.2% 

Office of Support Operations 35 82.2% 8.8% 9.0% 

Office of the Chief Operating Officer 15 72.7% 11.6% 15.7% 

Office of the Secretary 17 94.7% 5.3% 0.0% 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 36 86.3% 4.9% 8.9% 

Regional Operations 106 87.5% 8.7% 3.7% 

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My Work Experience (continued) 

6. I know what is expected of me on the job. 

N Positive Neutral Negative 

Governmentwide 417,035 79.1% 11.2% 9.7% 

Securities and Exchange Commission 1,900 74.9% 11.3% 13.9% 

Division of Corporation Finance 269 80.3% 8.0% 11.7% 

Division of Economic Risk and Analysis 36 71.8% 6.8% 21.4% 

Division of Investment Management 27 70.0% 13.5% 16.5% 

Division of Trading and Markets 44 77.3% 6.2% 16.6% 

Executive Staff 12 100.0% 0.0% 0.0% 

National Enforcement Program 429 77.4% 10.8% 11.8% 

National Examination Program 505 70.4% 14.8% 14.8% 

Office of Acquisitions 37 81.1% 8.2% 10.8% 

Office of Chief Accountant 23 84.2% 0.0% 15.8% 

Office of Credit Ratings 22 65.3% 18.9% 15.8% 

Office of Financial Management 34 74.5% 13.4% 12.1% 

Office of General Counsel 43 70.5% 14.3% 15.2% 

Office of Human Resources 81 70.8% 14.8% 14.4% 

Office of Information Technology 26 60.9% 12.3% 26.8% 

Office of Inspector General 28 83.2% 16.8% 0.0% 

Office of International Affairs 39 62.4% 18.1% 19.5% 

Office of Investor Education and Advocacy 30 62.5% 6.9% 30.6% 

Office of Support Operations 35 88.4% 3.1% 8.5% 

Office of the Chief Operating Officer 15 66.4% 26.8% 6.8% 

Office of the Secretary 16 87.8% 12.2% 0.0% 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 36 77.8% 7.4% 14.9% 

Regional Operations 107 77.6% 11.4% 11.0% 

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My Work Experience (continued) 

7. When needed I am willing to put in the extra effort to get a job done. 

N Positive Neutral Negative 

Governmentwide 418,594 95.6% 2.8% 1.7% 

Securities and Exchange Commission 1,912 97.0% 1.9% 1.1% 

Division of Corporation Finance 272 96.2% 2.6% 1.1% 

Division of Economic Risk and Analysis 36 97.2% 2.8% 0.0% 

Division of Investment Management 28 100.0% 0.0% 0.0% 

Division of Trading and Markets 44 96.3% 3.7% 0.0% 

Executive Staff 12 100.0% 0.0% 0.0% 

National Enforcement Program 433 98.5% 1.0% 0.5% 

National Examination Program 505 94.9% 3.0% 2.1% 

Office of Acquisitions 37 100.0% 0.0% 0.0% 

Office of Chief Accountant 23 100.0% 0.0% 0.0% 

Office of Credit Ratings 22 100.0% 0.0% 0.0% 

Office of Financial Management 34 93.7% 3.0% 3.3% 

Office of General Counsel 43 94.9% 2.6% 2.5% 

Office of Human Resources 82 97.2% 0.0% 2.8% 

Office of Information Technology 27 100.0% 0.0% 0.0% 

Office of Inspector General 28 100.0% 0.0% 0.0% 

Office of International Affairs 39 90.5% 2.2% 7.3% 

Office of Investor Education and Advocacy 31 96.5% 3.5% 0.0% 

Office of Support Operations 35 94.1% 3.1% 2.8% 

Office of the Chief Operating Officer 15 93.2% 0.0% 6.8% 

Office of the Secretary 17 100.0% 0.0% 0.0% 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 36 97.5% 2.5% 0.0% 

Regional Operations 107 97.3% 1.8% 0.9% 

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My Work Experience (continued) 

8. I am constantly looking for ways to do my job better. 

N Positive Neutral Negative 

Governmentwide 419,588 90.5% 7.6% 1.9% 

Securities and Exchange Commission 1,912 88.5% 8.4% 3.1% 

Division of Corporation Finance 270 87.7% 10.1% 2.2% 

Division of Economic Risk and Analysis 36 91.0% 9.0% 0.0% 

Division of Investment Management 28 85.0% 7.4% 7.6% 

Division of Trading and Markets 44 83.8% 9.2% 7.0% 

Executive Staff 12 100.0% 0.0% 0.0% 

National Enforcement Program 435 89.7% 7.8% 2.6% 

National Examination Program 507 85.5% 11.0% 3.5% 

Office of Acquisitions 37 97.7% 0.0% 2.3% 

Office of Chief Accountant 23 79.1% 20.9% 0.0% 

Office of Credit Ratings 22 92.7% 7.3% 0.0% 

Office of Financial Management 34 88.2% 8.6% 3.3% 

Office of General Counsel 43 84.7% 9.7% 5.6% 

Office of Human Resources 81 90.2% 5.8% 3.9% 

Office of Information Technology 27 96.0% 4.0% 0.0% 

Office of Inspector General 28 96.5% 0.0% 3.5% 

Office of International Affairs 39 90.7% 4.6% 4.7% 

Office of Investor Education and Advocacy 31 90.3% 6.5% 3.2% 

Office of Support Operations 34 85.4% 11.7% 2.9% 

Office of the Chief Operating Officer 15 93.2% 0.0% 6.8% 

Office of the Secretary 17 94.7% 5.3% 0.0% 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 36 97.0% 0.0% 3.0% 

Regional Operations 107 90.7% 8.4% 0.9% 

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My Work Experience (continued) 

9. I have sufficient resources (for example, people, materials, budget) to get my job done. 

Governmentwide 

N 

419,427 

Positive Neutral Negative DNK 

46.1% 16.2% 37.7% 1,039 

Securities and Exchange Commission 1,910 53.4% 16.9% 29.8% 5 

Division of Corporation Finance 272 65.1% 13.7% 21.1% 0 

Division of Economic Risk and Analysis 36 52.7% 16.9% 30.4% 0 

Division of Investment Management 27 52.2% 22.2% 25.6% 1 

Division of Trading and Markets 44 55.6% 12.3% 32.2% 0 

Executive Staff 12 68.3% 0.0% 31.7% 0 

National Enforcement Program 435 45.7% 18.6% 35.7% 1 

National Examination Program 503 53.4% 16.6% 30.0% 2 

Office of Acquisitions 37 59.5% 19.4% 21.1% 0 

Office of Chief Accountant 23 70.2% 13.1% 16.7% 0 

Office of Credit Ratings 22 59.2% 15.1% 25.7% 0 

Office of Financial Management 34 60.6% 16.5% 22.9% 0 

Office of General Counsel 43 64.1% 20.3% 15.6% 0 

Office of Human Resources 81 50.9% 10.7% 38.4% 1 

Office of Information Technology 27 24.1% 35.2% 40.7% 0 

Office of Inspector General 28 74.1% 13.6% 12.3% 0 

Office of International Affairs 39 41.3% 11.1% 47.6% 0 

Office of Investor Education and Advocacy 31 59.9% 18.8% 21.3% 0 

Office of Support Operations 35 72.4% 13.4% 14.2% 0 

Office of the Chief Operating Officer 15 53.7% 26.7% 19.6% 0 

Office of the Secretary 17 75.2% 18.8% 6.0% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 35 67.9% 7.8% 24.2% 0 

Regional Operations 108 66.0% 5.5% 28.6% 0 

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My Work Experience (continued) 

10. My workload is reasonable. 

Governmentwide 

N 

417,538 

Positive Neutral Negative DNK 

57.0% 16.5% 26.5% 784 

Securities and Exchange Commission 1,908 65.7% 13.7% 20.6% 3 

Division of Corporation Finance 270 71.1% 11.4% 17.5% 1 

Division of Economic Risk and Analysis 36 47.0% 24.1% 28.9% 0 

Division of Investment Management 28 71.6% 7.9% 20.4% 0 

Division of Trading and Markets 44 81.9% 6.6% 11.4% 0 

Executive Staff 12 65.6% 0.0% 34.4% 0 

National Enforcement Program 434 66.0% 13.2% 20.8% 1 

National Examination Program 504 65.1% 15.9% 19.0% 0 

Office of Acquisitions 37 50.1% 17.3% 32.6% 0 

Office of Chief Accountant 23 87.9% 3.5% 8.6% 0 

Office of Credit Ratings 22 56.7% 24.2% 19.1% 0 

Office of Financial Management 33 66.7% 9.9% 23.4% 1 

Office of General Counsel 43 63.8% 21.1% 15.2% 0 

Office of Human Resources 82 49.6% 13.6% 36.9% 0 

Office of Information Technology 27 39.6% 26.3% 34.1% 0 

Office of Inspector General 28 80.1% 10.6% 9.3% 0 

Office of International Affairs 38 44.9% 16.4% 38.7% 0 

Office of Investor Education and Advocacy 31 56.1% 19.4% 24.5% 0 

Office of Support Operations 35 74.6% 7.8% 17.7% 0 

Office of the Chief Operating Officer 15 86.6% 6.6% 6.8% 0 

Office of the Secretary 17 72.5% 15.9% 11.6% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 36 75.2% 8.0% 16.9% 0 

Regional Operations 107 70.0% 8.1% 21.9% 0 

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My Work Experience (continued) 

11. My talents are used well in the workplace. 

Governmentwide 

N 

406,246 

Positive Neutral Negative DNK 

57.7% 16.7% 25.6% 1,945 

Securities and Exchange Commission 1,876 59.5% 14.9% 25.6% 7 

Division of Corporation Finance 266 53.0% 19.6% 27.4% 0 

Division of Economic Risk and Analysis 35 66.2% 16.4% 17.4% 0 

Division of Investment Management 28 46.8% 21.2% 32.0% 0 

Division of Trading and Markets 43 63.6% 7.8% 28.6% 0 

Executive Staff 12 83.8% 8.4% 7.8% 0 

National Enforcement Program 425 60.7% 15.5% 23.8% 3 

National Examination Program 491 58.9% 16.4% 24.6% 4 

Office of Acquisitions 35 64.1% 12.9% 23.0% 0 

Office of Chief Accountant 23 75.2% 8.9% 15.8% 0 

Office of Credit Ratings 22 52.9% 14.3% 32.8% 0 

Office of Financial Management 34 57.6% 23.7% 18.7% 0 

Office of General Counsel 43 40.7% 10.8% 48.6% 0 

Office of Human Resources 80 50.5% 16.7% 32.8% 0 

Office of Information Technology 27 66.3% 7.7% 26.0% 0 

Office of Inspector General 28 78.5% 10.5% 10.9% 0 

Office of International Affairs 39 69.3% 8.2% 22.5% 0 

Office of Investor Education and Advocacy 31 48.7% 12.0% 39.3% 0 

Office of Support Operations 35 67.8% 9.1% 23.1% 0 

Office of the Chief Operating Officer 15 59.1% 19.7% 21.2% 0 

Office of the Secretary 16 68.2% 26.1% 5.7% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 36 75.4% 5.5% 19.1% 0 

Regional Operations 106 67.4% 7.5% 25.1% 0 

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My Work Experience (continued) 

12. I know how my work relates to the agency's goals and priorities. 

Governmentwide 

N 

416,802 

Positive Neutral Negative DNK 

82.5% 10.3% 7.3% 1,495 

Securities and Exchange Commission 1,903 85.3% 7.6% 7.1% 4 

Division of Corporation Finance 267 81.5% 8.2% 10.3% 1 

Division of Economic Risk and Analysis 36 84.6% 12.2% 3.1% 0 

Division of Investment Management 28 74.9% 13.2% 11.9% 0 

Division of Trading and Markets 44 78.7% 8.3% 13.1% 0 

Executive Staff 12 100.0% 0.0% 0.0% 0 

National Enforcement Program 435 86.0% 6.5% 7.5% 0 

National Examination Program 501 86.4% 7.6% 6.0% 3 

Office of Acquisitions 36 89.2% 8.7% 2.1% 0 

Office of Chief Accountant 23 66.5% 21.1% 12.3% 0 

Office of Credit Ratings 22 86.7% 13.3% 0.0% 0 

Office of Financial Management 34 93.8% 2.9% 3.3% 0 

Office of General Counsel 43 87.4% 7.5% 5.2% 0 

Office of Human Resources 82 88.2% 7.3% 4.5% 0 

Office of Information Technology 27 88.3% 8.3% 3.4% 0 

Office of Inspector General 28 86.8% 9.8% 3.4% 0 

Office of International Affairs 39 84.4% 8.0% 7.5% 0 

Office of Investor Education and Advocacy 31 84.3% 9.3% 6.3% 0 

Office of Support Operations 35 88.5% 6.0% 5.5% 0 

Office of the Chief Operating Officer 15 79.1% 12.0% 8.9% 0 

Office of the Secretary 17 100.0% 0.0% 0.0% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 36 89.3% 4.9% 5.8% 0 

Regional Operations 106 90.4% 4.1% 5.5% 0 

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My Work Experience (continued) 

13. The work I do is important. 

Governmentwide 

N 

413,090 

Positive Neutral Negative DNK 

90.0% 6.8% 3.2% 1,176 

Securities and Exchange Commission 1,871 87.8% 8.4% 3.8% 5 

Division of Corporation Finance 269 86.3% 8.0% 5.7% 0 

Division of Economic Risk and Analysis 36 90.4% 9.6% 0.0% 0 

Division of Investment Management 28 75.9% 20.4% 3.7% 0 

Division of Trading and Markets 42 79.7% 17.0% 3.3% 0 

Executive Staff 12 90.5% 9.5% 0.0% 0 

National Enforcement Program 428 90.3% 6.1% 3.6% 2 

National Examination Program 486 88.7% 7.2% 4.1% 2 

Office of Acquisitions 37 94.3% 5.7% 0.0% 0 

Office of Chief Accountant 23 80.1% 15.7% 4.2% 0 

Office of Credit Ratings 22 79.2% 17.1% 3.7% 0 

Office of Financial Management 32 93.4% 6.6% 0.0% 1 

Office of General Counsel 43 77.4% 14.9% 7.7% 0 

Office of Human Resources 78 87.9% 7.0% 5.0% 0 

Office of Information Technology 26 88.8% 7.7% 3.5% 0 

Office of Inspector General 28 89.8% 6.7% 3.5% 0 

Office of International Affairs 39 83.8% 14.0% 2.2% 0 

Office of Investor Education and Advocacy 31 87.1% 9.7% 3.2% 0 

Office of Support Operations 35 94.7% 2.6% 2.7% 0 

Office of the Chief Operating Officer 15 84.5% 0.0% 15.5% 0 

Office of the Secretary 15 100.0% 0.0% 0.0% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 36 88.9% 5.5% 5.6% 0 

Regional Operations 104 90.2% 7.6% 2.2% 0 

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My Work Experience (continued) 

14.	 Physical conditions (for example, noise level, temperature, lighting, cleanliness in the workplace) allow employees to perform their 

jobs well. 

Governmentwide 

N 

417,770 

Positive Neutral Negative DNK 

65.8% 14.1% 20.1% 1,841 

Securities and Exchange Commission 1,895 83.2% 8.6% 8.2% 6 

Division of Corporation Finance 266 85.8% 7.1% 7.1% 3 

Division of Economic Risk and Analysis 36 79.8% 4.1% 16.1% 0 

Division of Investment Management 27 94.0% 1.3% 4.7% 0 

Division of Trading and Markets 44 73.3% 20.0% 6.7% 0 

Executive Staff 11 92.6% 0.0% 7.4% 0 

National Enforcement Program 435 82.3% 8.2% 9.5% 0 

National Examination Program 500 83.9% 8.3% 7.8% 1 

Office of Acquisitions 36 93.8% 6.2% 0.0% 0 

Office of Chief Accountant 23 91.9% 4.2% 3.9% 0 

Office of Credit Ratings 22 79.6% 8.5% 11.9% 0 

Office of Financial Management 33 90.5% 9.5% 0.0% 0 

Office of General Counsel 43 82.8% 9.7% 7.4% 0 

Office of Human Resources 80 85.0% 8.8% 6.2% 1 

Office of Information Technology 27 65.4% 19.9% 14.7% 0 

Office of Inspector General 28 96.3% 3.7% 0.0% 0 

Office of International Affairs 39 81.9% 7.0% 11.1% 0 

Office of Investor Education and Advocacy 31 90.3% 9.7% 0.0% 0 

Office of Support Operations 33 87.6% 3.0% 9.4% 1 

Office of the Chief Operating Officer 14 92.7% 0.0% 7.3% 0 

Office of the Secretary 17 93.6% 6.4% 0.0% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 36 88.5% 4.9% 6.6% 0 

Regional Operations 108 79.7% 7.8% 12.5% 0 

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My Work Experience (continued) 

15. My performance appraisal is a fair reflection of my performance. 

Governmentwide 413,321 69.1% 14.4% 16.5% 5,987 

Securities and Exchange Commission 1,882 66.0% 14.8% 19.2% 32 

Division of Corporation Finance 269 60.7% 18.8% 20.5% 4 

Division of Economic Risk and Analysis 35 66.3% 15.6% 18.1% 1 

Division of Investment Management 28 58.2% 29.9% 11.9% 0 

Division of Trading and Markets 44 71.3% 6.5% 22.2% 0 

Executive Staff 12 100.0% 0.0% 0.0% 0 

National Enforcement Program 427 68.4% 13.8% 17.9% 9 

National Examination Program 499 59.9% 18.4% 21.7% 7 

Office of Acquisitions 36 73.3% 12.6% 14.1% 1 

Office of Chief Accountant 22 68.5% 13.9% 17.6% 1 

Office of Credit Ratings 22 77.5% 8.7% 13.8% 0 

Office of Financial Management 34 53.1% 19.8% 27.1% 0 

Office of General Counsel 42 49.4% 12.9% 37.7% 1 

Office of Human Resources 80 72.4% 9.8% 17.8% 2 

Office of Information Technology 27 81.4% 4.3% 14.3% 0 

Office of Inspector General 28 83.1% 10.2% 6.7% 0 

Office of International Affairs 36 66.4% 11.8% 21.8% 3 

Office of Investor Education and Advocacy 29 62.8% 7.5% 29.6% 0 

Office of Support Operations 34 78.6% 9.0% 12.4% 0 

Office of the Chief Operating Officer 15 59.8% 24.9% 15.3% 0 

Office of the Secretary 17 88.8% 11.2% 0.0% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 33 72.4% 11.6% 15.9% 2 

Regional Operations 107 72.5% 13.3% 14.2% 1 

N Positive Neutral Negative DNK 

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My Work Experience (continued) 

16. I am held accountable for achieving results. 

Governmentwide 

N 

416,218 

Positive Neutral Negative DNK 

81.3% 12.2% 6.5% 2,077 

Securities and Exchange Commission 1,897 79.7% 12.9% 7.4% 13 

Division of Corporation Finance 271 80.3% 14.9% 4.8% 1 

Division of Economic Risk and Analysis 35 84.1% 11.8% 4.1% 1 

Division of Investment Management 27 82.1% 10.0% 7.9% 1 

Division of Trading and Markets 44 78.4% 6.5% 15.1% 0 

Executive Staff 12 85.6% 14.4% 0.0% 0 

National Enforcement Program 430 76.5% 15.8% 7.7% 2 

National Examination Program 501 74.5% 16.0% 9.5% 5 

Office of Acquisitions 36 97.9% 0.0% 2.1% 0 

Office of Chief Accountant 23 76.0% 15.6% 8.4% 0 

Office of Credit Ratings 22 76.8% 14.2% 9.0% 0 

Office of Financial Management 33 83.1% 14.2% 2.7% 1 

Office of General Counsel 42 70.8% 16.3% 12.9% 0 

Office of Human Resources 82 90.8% 4.5% 4.7% 0 

Office of Information Technology 27 100.0% 0.0% 0.0% 0 

Office of Inspector General 28 89.1% 7.9% 3.0% 0 

Office of International Affairs 39 79.7% 10.7% 9.7% 0 

Office of Investor Education and Advocacy 31 83.5% 10.2% 6.3% 0 

Office of Support Operations 35 91.7% 0.0% 8.3% 0 

Office of the Chief Operating Officer 15 78.1% 21.9% 0.0% 0 

Office of the Secretary 17 88.5% 11.5% 0.0% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 35 90.9% 3.1% 6.0% 0 

Regional Operations 106 81.5% 13.7% 4.9% 2 

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My Work Experience (continued) 

17. I can disclose a suspected violation of any law, rule or regulation without fear of reprisal. 

Governmentwide 

N 

400,156 

Positive Neutral Negative DNK 

61.2% 18.7% 20.1% 18,409 

Securities and Exchange Commission 1,767 68.8% 14.4% 16.8% 135 

Division of Corporation Finance 247 67.3% 14.1% 18.5% 26 

Division of Economic Risk and Analysis 33 63.6% 20.0% 16.5% 2 

Division of Investment Management 23 69.1% 14.4% 16.5% 5 

Division of Trading and Markets 42 68.9% 16.9% 14.2% 2 

Executive Staff 12 76.1% 14.4% 9.5% 0 

National Enforcement Program 392 69.8% 12.3% 17.9% 42 

National Examination Program 482 74.7% 13.4% 11.8% 20 

Office of Acquisitions 35 65.3% 14.4% 20.2% 2 

Office of Chief Accountant 22 78.6% 4.9% 16.5% 1 

Office of Credit Ratings 21 59.6% 24.9% 15.5% 1 

Office of Financial Management 30 62.0% 24.4% 13.5% 3 

Office of General Counsel 38 52.5% 15.5% 32.0% 5 

Office of Human Resources 76 54.6% 19.4% 26.0% 4 

Office of Information Technology 23 54.7% 32.1% 13.1% 4 

Office of Inspector General 28 89.8% 10.2% 0.0% 0 

Office of International Affairs 35 65.7% 12.2% 22.1% 4 

Office of Investor Education and Advocacy 27 81.1% 8.1% 10.8% 2 

Office of Support Operations 35 56.4% 11.7% 32.0% 0 

Office of the Chief Operating Officer 15 72.1% 19.0% 8.9% 0 

Office of the Secretary 15 86.6% 13.4% 0.0% 2 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 32 68.7% 2.8% 28.5% 3 

Regional Operations 98 72.3% 11.2% 16.5% 7 

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My Work Experience (continued) 

18. My training needs are assessed. 

Governmentwide 

N 

414,506 

Positive Neutral Negative DNK 

51.7% 23.1% 25.2% 4,422 

Securities and Exchange Commission 1,889 54.8% 22.1% 23.1% 20 

Division of Corporation Finance 269 63.5% 19.3% 17.2% 2 

Division of Economic Risk and Analysis 36 61.1% 17.9% 21.0% 0 

Division of Investment Management 27 55.9% 10.8% 33.3% 1 

Division of Trading and Markets 44 64.6% 12.6% 22.7% 0 

Executive Staff 12 64.3% 8.4% 27.3% 0 

National Enforcement Program 431 49.2% 24.2% 26.5% 4 

National Examination Program 500 51.5% 23.8% 24.7% 4 

Office of Acquisitions 37 69.2% 20.0% 10.7% 0 

Office of Chief Accountant 23 35.8% 35.4% 28.8% 0 

Office of Credit Ratings 22 29.7% 29.1% 41.2% 0 

Office of Financial Management 33 74.4% 16.6% 9.0% 1 

Office of General Counsel 42 28.8% 37.8% 33.4% 1 

Office of Human Resources 81 45.6% 29.3% 25.1% 1 

Office of Information Technology 27 69.4% 19.0% 11.6% 0 

Office of Inspector General 28 86.6% 6.7% 6.7% 0 

Office of International Affairs 37 45.0% 30.0% 25.0% 2 

Office of Investor Education and Advocacy 30 39.3% 44.9% 15.9% 0 

Office of Support Operations 34 69.9% 12.4% 17.7% 0 

Office of the Chief Operating Officer 14 69.6% 13.5% 16.9% 1 

Office of the Secretary 17 60.3% 28.3% 11.4% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 35 63.4% 18.8% 17.8% 1 

Regional Operations 104 57.1% 23.7% 19.2% 2 

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My Work Experience (continued) 

19.	 In my most recent performance appraisal, I understood what I had to do to be rated at different performance levels (for example, 

Fully Successful, Outstanding). 

Governmentwide 

N 

410,220 

Positive Neutral Negative NBJ 

68.1% 14.1% 17.8% 10,590 

Securities and Exchange Commission 1,870 51.4% 17.4% 31.1% 44 

Division of Corporation Finance 273 43.9% 18.0% 38.1% 0 

Division of Economic Risk and Analysis 34 57.3% 20.6% 22.0% 2 

Division of Investment Management 27 30.2% 27.2% 42.6% 1 

Division of Trading and Markets 42 53.9% 15.1% 31.0% 2 

Executive Staff 12 66.0% 16.2% 17.8% 0 

National Enforcement Program 422 50.8% 17.7% 31.4% 13 

National Examination Program 500 49.8% 16.6% 33.6% 7 

Office of Acquisitions 37 61.5% 19.5% 19.0% 0 

Office of Chief Accountant 22 36.0% 32.0% 32.0% 1 

Office of Credit Ratings 22 54.7% 8.0% 37.3% 0 

Office of Financial Management 34 51.8% 19.1% 29.1% 0 

Office of General Counsel 43 34.5% 26.4% 39.0% 0 

Office of Human Resources 79 50.6% 16.1% 33.3% 3 

Office of Information Technology 27 70.0% 14.4% 15.6% 0 

Office of Inspector General 27 82.7% 10.9% 6.4% 1 

Office of International Affairs 37 50.1% 21.8% 28.1% 2 

Office of Investor Education and Advocacy 30 57.2% 4.3% 38.5% 1 

Office of Support Operations 35 73.3% 8.7% 17.9% 0 

Office of the Chief Operating Officer 15 40.3% 30.8% 28.9% 0 

Office of the Secretary 16 83.5% 10.3% 6.1% 1 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 27 66.4% 11.6% 22.1% 7 

Regional Operations 103 64.2% 14.4% 21.4% 3 

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My Work Unit 

20. The people I work with cooperate to get the job done. 

N Positive Neutral Negative 

Governmentwide 420,499 72.7% 14.0% 13.3% 

Securities and Exchange Commission 1,914 76.8% 12.5% 10.8% 

Division of Corporation Finance 274 84.5% 8.9% 6.6% 

Division of Economic Risk and Analysis 36 77.3% 18.9% 3.8% 

Division of Investment Management 28 73.7% 14.5% 11.8% 

Division of Trading and Markets 43 75.8% 11.0% 13.1% 

Executive Staff 12 76.1% 6.7% 17.3% 

National Enforcement Program 434 76.9% 11.1% 12.0% 

National Examination Program 506 75.6% 13.5% 10.9% 

Office of Acquisitions 36 75.0% 18.8% 6.2% 

Office of Chief Accountant 23 74.9% 13.0% 12.1% 

Office of Credit Ratings 22 84.2% 4.5% 11.3% 

Office of Financial Management 34 85.5% 12.2% 2.3% 

Office of General Counsel 43 75.3% 14.5% 10.1% 

Office of Human Resources 82 76.7% 10.7% 12.6% 

Office of Information Technology 27 60.8% 24.0% 15.2% 

Office of Inspector General 28 96.3% 3.7% 0.0% 

Office of International Affairs 39 74.5% 8.2% 17.4% 

Office of Investor Education and Advocacy 30 71.4% 16.4% 12.3% 

Office of Support Operations 35 74.1% 9.1% 16.8% 

Office of the Chief Operating Officer 15 85.2% 14.8% 0.0% 

Office of the Secretary 17 81.3% 12.9% 5.8% 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 36 83.3% 10.9% 5.8% 

Regional Operations 108 69.5% 17.8% 12.6% 

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My Work Unit (continued) 

21. My work unit is able to recruit people with the right skills. 

Governmentwide 

N 

405,630 

Positive Neutral Negative DNK 

41.6% 25.7% 32.7% 15,085 

Securities and Exchange Commission 1,825 63.5% 18.3% 18.2% 91 

Division of Corporation Finance 253 69.1% 13.5% 17.4% 20 

Division of Economic Risk and Analysis 35 58.3% 23.9% 17.7% 1 

Division of Investment Management 26 54.6% 19.2% 26.1% 2 

Division of Trading and Markets 44 57.9% 18.5% 23.6% 0 

Executive Staff 12 72.7% 17.9% 9.4% 0 

National Enforcement Program 409 69.0% 16.4% 14.6% 28 

National Examination Program 488 59.6% 20.1% 20.4% 18 

Office of Acquisitions 35 62.4% 27.3% 10.2% 2 

Office of Chief Accountant 23 84.0% 7.4% 8.6% 0 

Office of Credit Ratings 22 61.2% 5.8% 33.0% 0 

Office of Financial Management 32 70.5% 9.9% 19.7% 1 

Office of General Counsel 41 70.2% 27.2% 2.6% 1 

Office of Human Resources 81 67.3% 14.2% 18.5% 1 

Office of Information Technology 26 44.3% 28.9% 26.8% 1 

Office of Inspector General 26 92.6% 3.7% 3.8% 2 

Office of International Affairs 37 53.5% 16.7% 29.9% 1 

Office of Investor Education and Advocacy 30 39.5% 34.3% 26.2% 1 

Office of Support Operations 35 44.7% 32.0% 23.2% 0 

Office of the Chief Operating Officer 14 49.8% 28.9% 21.3% 1 

Office of the Secretary 16 87.5% 6.8% 5.7% 1 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 35 84.8% 9.3% 5.9% 1 

Regional Operations 100 53.5% 17.8% 28.6% 8 

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My Work Unit (continued) 

22. Promotions in my work unit are based on merit. 

Governmentwide 

N 

391,579 

Positive Neutral Negative DNK 

32.9% 27.9% 39.2% 27,063 

Securities and Exchange Commission 1,755 37.9% 21.6% 40.4% 152 

Division of Corporation Finance 249 33.8% 23.3% 42.9% 24 

Division of Economic Risk and Analysis 32 43.8% 15.6% 40.5% 4 

Division of Investment Management 25 28.2% 20.9% 50.9% 2 

Division of Trading and Markets 43 39.5% 19.1% 41.4% 1 

Executive Staff 9 70.0% 0.0% 30.0% 1 

National Enforcement Program 392 36.7% 23.3% 40.0% 42 

National Examination Program 469 38.1% 18.7% 43.2% 32 

Office of Acquisitions 32 44.0% 28.6% 27.4% 5 

Office of Chief Accountant 21 39.2% 28.8% 32.0% 2 

Office of Credit Ratings 22 24.3% 30.1% 45.6% 0 

Office of Financial Management 32 33.9% 18.0% 48.1% 2 

Office of General Counsel 41 37.1% 20.7% 42.2% 2 

Office of Human Resources 77 40.5% 21.6% 37.9% 5 

Office of Information Technology 25 29.9% 36.9% 33.2% 2 

Office of Inspector General 26 85.1% 7.9% 7.0% 2 

Office of International Affairs 36 40.6% 24.0% 35.4% 3 

Office of Investor Education and Advocacy 30 31.6% 24.8% 43.7% 1 

Office of Support Operations 35 44.0% 14.6% 41.4% 0 

Office of the Chief Operating Officer 14 42.6% 13.7% 43.7% 1 

Office of the Secretary 16 69.4% 17.6% 12.9% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 28 46.3% 31.6% 22.1% 8 

Regional Operations 97 46.3% 15.4% 38.3% 11 

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My Work Unit (continued) 

23. In my work unit, steps are taken to deal with a poor performer who cannot or will not improve. 

Governmentwide 

N 

379,304 

Positive Neutral Negative DNK 

28.2% 27.0% 44.8% 39,603 

Securities and Exchange Commission 1,632 28.6% 27.3% 44.1% 272 

Division of Corporation Finance 214 35.1% 32.3% 32.6% 57 

Division of Economic Risk and Analysis 26 25.9% 47.7% 26.4% 9 

Division of Investment Management 22 35.2% 20.4% 44.3% 6 

Division of Trading and Markets 40 19.0% 23.9% 57.1% 3 

Executive Staff 10 62.2% 10.2% 27.6% 0 

National Enforcement Program 362 22.4% 27.1% 50.5% 71 

National Examination Program 451 21.9% 26.4% 51.7% 53 

Office of Acquisitions 32 45.0% 30.4% 24.5% 5 

Office of Chief Accountant 20 40.7% 26.4% 32.8% 3 

Office of Credit Ratings 20 44.4% 34.2% 21.4% 2 

Office of Financial Management 27 42.2% 23.2% 34.6% 7 

Office of General Counsel 38 15.0% 42.2% 42.8% 5 

Office of Human Resources 73 33.6% 29.7% 36.7% 9 

Office of Information Technology 26 43.8% 24.9% 31.3% 1 

Office of Inspector General 22 53.2% 37.1% 9.7% 6 

Office of International Affairs 34 42.9% 23.6% 33.4% 5 

Office of Investor Education and Advocacy 29 31.7% 30.6% 37.7% 2 

Office of Support Operations 34 51.2% 15.7% 33.1% 1 

Office of the Chief Operating Officer 14 43.5% 41.9% 14.6% 1 

Office of the Secretary 16 27.2% 55.5% 17.3% 1 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 28 63.8% 10.7% 25.5% 8 

Regional Operations 90 31.7% 18.4% 49.9% 15 

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My Work Unit (continued) 

24. In my work unit, differences in performance are recognized in a meaningful way. 

Governmentwide 

N 

395,142 

Positive Neutral Negative DNK 

32.8% 27.9% 39.3% 24,411 

Securities and Exchange Commission 1,738 29.7% 24.5% 45.8% 172 

Division of Corporation Finance 242 21.3% 23.3% 55.4% 31 

Division of Economic Risk and Analysis 31 46.4% 31.5% 22.1% 5 

Division of Investment Management 23 26.4% 8.0% 65.6% 4 

Division of Trading and Markets 40 25.4% 26.2% 48.3% 4 

Executive Staff 10 51.8% 30.7% 17.5% 0 

National Enforcement Program 387 26.1% 29.8% 44.1% 50 

National Examination Program 476 25.4% 21.6% 53.0% 29 

Office of Acquisitions 31 42.5% 22.9% 34.6% 6 

Office of Chief Accountant 20 11.1% 35.5% 53.3% 3 

Office of Credit Ratings 21 21.8% 19.7% 58.5% 1 

Office of Financial Management 31 38.3% 24.1% 37.5% 2 

Office of General Counsel 40 27.5% 18.6% 54.0% 3 

Office of Human Resources 77 41.0% 26.3% 32.7% 5 

Office of Information Technology 26 36.3% 29.3% 34.5% 1 

Office of Inspector General 24 74.9% 20.3% 4.8% 3 

Office of International Affairs 37 46.9% 24.7% 28.4% 2 

Office of Investor Education and Advocacy 30 29.8% 12.8% 57.4% 1 

Office of Support Operations 33 44.1% 21.9% 34.1% 1 

Office of the Chief Operating Officer 15 52.0% 20.3% 27.8% 0 

Office of the Secretary 16 71.1% 22.7% 6.2% 1 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 28 58.8% 14.3% 26.9% 7 

Regional Operations 95 41.3% 17.8% 40.8% 12 

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My Work Unit (continued) 

25. Awards in my work unit depend on how well employees perform their jobs. 

Governmentwide 

N 

390,970 

Positive Neutral Negative DNK 

40.1% 25.0% 34.9% 27,677 

Securities and Exchange Commission 1,712 42.3% 21.6% 36.1% 189 

Division of Corporation Finance 237 30.4% 25.3% 44.3% 34 

Division of Economic Risk and Analysis 31 55.4% 30.8% 13.8% 5 

Division of Investment Management 26 45.3% 19.2% 35.6% 2 

Division of Trading and Markets 40 36.5% 25.8% 37.7% 3 

Executive Staff 10 50.9% 18.2% 30.9% 0 

National Enforcement Program 374 39.7% 25.1% 35.3% 59 

National Examination Program 469 43.0% 16.4% 40.6% 29 

Office of Acquisitions 31 49.7% 22.3% 28.1% 6 

Office of Chief Accountant 20 36.0% 34.8% 29.2% 3 

Office of Credit Ratings 21 34.6% 26.9% 38.5% 1 

Office of Financial Management 28 43.3% 22.9% 33.8% 6 

Office of General Counsel 38 34.0% 14.3% 51.7% 5 

Office of Human Resources 79 45.4% 20.3% 34.3% 2 

Office of Information Technology 27 46.8% 23.7% 29.5% 0 

Office of Inspector General 26 76.7% 23.3% 0.0% 2 

Office of International Affairs 37 55.5% 15.5% 28.9% 2 

Office of Investor Education and Advocacy 27 43.9% 3.3% 52.8% 4 

Office of Support Operations 34 61.2% 9.2% 29.6% 1 

Office of the Chief Operating Officer 12 66.7% 7.3% 26.0% 3 

Office of the Secretary 17 54.2% 27.8% 18.0% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 30 59.2% 23.9% 16.9% 6 

Regional Operations 93 50.9% 17.4% 31.8% 15 

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My Work Unit (continued) 

26. Employees in my work unit share job knowledge with each other. 

Governmentwide 

N 

417,688 

Positive Neutral Negative DNK 

72.7% 14.1% 13.2% 1,762 

Securities and Exchange Commission 1,891 76.4% 12.4% 11.2% 11 

Division of Corporation Finance 273 78.9% 10.7% 10.4% 0 

Division of Economic Risk and Analysis 35 67.0% 23.7% 9.3% 1 

Division of Investment Management 28 73.7% 17.4% 8.8% 0 

Division of Trading and Markets 43 68.7% 14.7% 16.6% 0 

Executive Staff 9 79.7% 20.3% 0.0% 0 

National Enforcement Program 429 81.5% 9.9% 8.5% 4 

National Examination Program 503 73.5% 14.4% 12.2% 1 

Office of Acquisitions 37 80.8% 8.5% 10.7% 0 

Office of Chief Accountant 23 78.9% 4.7% 16.3% 0 

Office of Credit Ratings 21 71.8% 10.4% 17.8% 0 

Office of Financial Management 33 71.6% 9.7% 18.7% 0 

Office of General Counsel 43 74.9% 10.2% 14.8% 0 

Office of Human Resources 81 76.2% 12.8% 11.0% 0 

Office of Information Technology 27 64.6% 20.7% 14.7% 0 

Office of Inspector General 28 92.8% 7.2% 0.0% 0 

Office of International Affairs 38 78.6% 5.6% 15.8% 1 

Office of Investor Education and Advocacy 31 77.5% 15.5% 7.0% 0 

Office of Support Operations 35 73.8% 9.4% 16.8% 0 

Office of the Chief Operating Officer 14 100.0% 0.0% 0.0% 0 

Office of the Secretary 16 81.1% 13.2% 5.7% 1 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 34 79.6% 14.2% 6.2% 0 

Regional Operations 104 68.1% 13.4% 18.6% 3 

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My Work Unit (continued) 

27. The skill level in my work unit has improved in the past year. 

Governmentwide 

N 

403,364 

Positive Neutral Negative DNK 

52.5% 29.1% 18.3% 16,549 

Securities and Exchange Commission 1,804 57.0% 28.8% 14.3% 107 

Division of Corporation Finance 259 53.6% 31.9% 14.5% 15 

Division of Economic Risk and Analysis 31 68.8% 27.6% 3.6% 5 

Division of Investment Management 24 61.7% 24.0% 14.3% 2 

Division of Trading and Markets 43 48.6% 26.5% 24.9% 1 

Executive Staff 10 80.4% 19.6% 0.0% 0 

National Enforcement Program 406 56.8% 30.1% 13.1% 30 

National Examination Program 480 53.3% 30.1% 16.5% 23 

Office of Acquisitions 36 74.5% 20.3% 5.1% 1 

Office of Chief Accountant 23 23.4% 47.7% 28.9% 0 

Office of Credit Ratings 21 46.7% 29.9% 23.4% 1 

Office of Financial Management 31 71.1% 22.6% 6.3% 3 

Office of General Counsel 40 40.7% 34.3% 24.9% 3 

Office of Human Resources 81 58.8% 26.1% 15.1% 1 

Office of Information Technology 26 64.5% 32.0% 3.5% 1 

Office of Inspector General 27 92.5% 0.0% 7.5% 1 

Office of International Affairs 36 63.7% 21.3% 15.0% 3 

Office of Investor Education and Advocacy 30 62.3% 24.2% 13.5% 1 

Office of Support Operations 34 66.9% 14.9% 18.2% 1 

Office of the Chief Operating Officer 14 62.9% 20.4% 16.7% 1 

Office of the Secretary 16 88.2% 11.8% 0.0% 1 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 32 72.4% 21.1% 6.4% 3 

Regional Operations 99 52.2% 35.9% 11.8% 9 

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My Work Unit (continued) 

28. How would you rate the overall quality of work done by your work unit? 

N Positive Neutral Negative 

Governmentwide 419,817 82.0% 14.5% 3.5% 

Securities and Exchange Commission 1,906 86.7% 11.2% 2.2% 

Division of Corporation Finance 273 85.4% 12.7% 1.9% 

Division of Economic Risk and Analysis 36 88.4% 11.6% 0.0% 

Division of Investment Management 28 87.5% 8.8% 3.7% 

Division of Trading and Markets 43 89.0% 7.1% 3.8% 

Executive Staff 12 100.0% 0.0% 0.0% 

National Enforcement Program 430 88.9% 9.8% 1.4% 

National Examination Program 504 84.0% 12.2% 3.8% 

Office of Acquisitions 37 89.3% 10.7% 0.0% 

Office of Chief Accountant 23 87.2% 4.4% 8.4% 

Office of Credit Ratings 22 90.6% 9.4% 0.0% 

Office of Financial Management 34 90.7% 9.3% 0.0% 

Office of General Counsel 43 87.6% 9.6% 2.8% 

Office of Human Resources 81 85.1% 10.7% 4.2% 

Office of Information Technology 27 77.2% 22.8% 0.0% 

Office of Inspector General 28 89.8% 6.7% 3.5% 

Office of International Affairs 39 83.0% 12.5% 4.5% 

Office of Investor Education and Advocacy 31 84.5% 15.5% 0.0% 

Office of Support Operations 35 77.2% 20.0% 2.8% 

Office of the Chief Operating Officer 15 91.1% 8.9% 0.0% 

Office of the Secretary 17 100.0% 0.0% 0.0% 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 35 87.6% 12.4% 0.0% 

Regional Operations 107 90.2% 9.8% 0.0% 

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My Agency 

29. The workforce has the job-relevant knowledge and skills necessary to accomplish organizational goals. 

Governmentwide 

N 

406,662 

Positive Neutral Negative DNK 

69.0% 17.8% 13.2% 7,091 

Securities and Exchange Commission 1,848 79.7% 12.4% 7.9% 47 

Division of Corporation Finance 262 81.4% 10.5% 8.1% 6 

Division of Economic Risk and Analysis 35 75.0% 16.7% 8.4% 1 

Division of Investment Management 24 61.2% 29.6% 9.2% 3 

Division of Trading and Markets 42 81.3% 6.3% 12.4% 1 

Executive Staff 11 89.7% 10.3% 0.0% 0 

National Enforcement Program 422 81.6% 12.6% 5.7% 11 

National Examination Program 492 75.5% 12.5% 12.0% 10 

Office of Acquisitions 36 75.6% 17.5% 7.0% 0 

Office of Chief Accountant 23 83.4% 8.8% 7.7% 0 

Office of Credit Ratings 22 71.6% 14.3% 14.1% 0 

Office of Financial Management 32 90.0% 6.5% 3.5% 1 

Office of General Counsel 43 77.7% 15.1% 7.3% 0 

Office of Human Resources 78 80.9% 14.8% 4.4% 1 

Office of Information Technology 26 84.2% 15.8% 0.0% 1 

Office of Inspector General 26 96.2% 0.0% 3.8% 2 

Office of International Affairs 38 78.4% 14.5% 7.1% 1 

Office of Investor Education and Advocacy 29 74.0% 16.7% 9.3% 0 

Office of Support Operations 34 85.7% 0.0% 14.3% 1 

Office of the Chief Operating Officer 15 87.1% 6.3% 6.6% 0 

Office of the Secretary 17 89.1% 0.0% 10.9% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 35 86.0% 14.0% 0.0% 1 

Regional Operations 100 81.7% 10.4% 7.8% 7 

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My Agency (continued) 

30. Employees have a feeling of personal empowerment with respect to work processes. 

Governmentwide 

N 

404,200 

Positive Neutral Negative DNK 

43.0% 25.2% 31.8% 9,417 

Securities and Exchange Commission 1,839 43.8% 21.8% 34.4% 66 

Division of Corporation Finance 265 35.1% 25.1% 39.8% 6 

Division of Economic Risk and Analysis 36 44.3% 20.4% 35.3% 0 

Division of Investment Management 28 29.0% 22.8% 48.2% 0 

Division of Trading and Markets 42 34.2% 16.2% 49.7% 2 

Executive Staff 11 37.2% 36.9% 25.9% 0 

National Enforcement Program 416 43.9% 23.8% 32.3% 19 

National Examination Program 492 46.5% 20.6% 32.9% 10 

Office of Acquisitions 36 62.2% 15.8% 21.9% 0 

Office of Chief Accountant 23 49.4% 21.3% 29.4% 0 

Office of Credit Ratings 22 34.3% 19.5% 46.2% 0 

Office of Financial Management 32 53.7% 30.0% 16.3% 1 

Office of General Counsel 40 36.6% 13.2% 50.2% 3 

Office of Human Resources 78 39.3% 25.1% 35.6% 3 

Office of Information Technology 26 40.1% 29.5% 30.4% 1 

Office of Inspector General 27 89.3% 0.0% 10.7% 1 

Office of International Affairs 36 45.1% 20.9% 34.0% 3 

Office of Investor Education and Advocacy 27 39.9% 6.8% 53.2% 3 

Office of Support Operations 31 67.2% 9.9% 22.8% 4 

Office of the Chief Operating Officer 15 51.7% 34.9% 13.4% 0 

Office of the Secretary 17 67.0% 16.8% 16.3% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 34 61.1% 9.3% 29.7% 2 

Regional Operations 99 50.4% 22.6% 27.0% 8 

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My Agency (continued) 

31. Employees are recognized for providing high quality products and services. 

Governmentwide 

N 

403,880 

Positive Neutral Negative DNK 

46.5% 23.5% 30.0% 8,603 

Securities and Exchange Commission 1,840 52.6% 19.3% 28.1% 55 

Division of Corporation Finance 264 39.2% 26.3% 34.5% 6 

Division of Economic Risk and Analysis 35 57.6% 23.4% 19.0% 1 

Division of Investment Management 26 53.8% 15.5% 30.6% 2 

Division of Trading and Markets 42 49.6% 19.3% 31.1% 2 

Executive Staff 11 64.1% 25.7% 10.3% 0 

National Enforcement Program 415 52.9% 19.9% 27.2% 15 

National Examination Program 490 53.5% 18.8% 27.7% 9 

Office of Acquisitions 35 60.6% 17.4% 22.0% 0 

Office of Chief Accountant 22 46.6% 36.7% 16.7% 1 

Office of Credit Ratings 22 42.0% 15.7% 42.3% 0 

Office of Financial Management 32 60.5% 16.8% 22.8% 1 

Office of General Counsel 43 38.9% 14.8% 46.3% 0 

Office of Human Resources 78 54.4% 12.5% 33.0% 3 

Office of Information Technology 27 57.7% 15.1% 27.1% 0 

Office of Inspector General 27 85.8% 14.2% 0.0% 1 

Office of International Affairs 37 59.2% 14.3% 26.5% 2 

Office of Investor Education and Advocacy 28 49.8% 14.8% 35.3% 2 

Office of Support Operations 33 63.3% 18.8% 17.9% 2 

Office of the Chief Operating Officer 15 77.7% 15.5% 6.8% 0 

Office of the Secretary 17 77.9% 5.3% 16.7% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 33 65.4% 20.0% 14.6% 3 

Regional Operations 102 54.8% 17.9% 27.4% 5 

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My Agency (continued) 

32. Creativity and innovation are rewarded. 

Governmentwide 

N 

398,504 

Positive Neutral Negative DNK 

36.7% 28.7% 34.6% 13,352 

Securities and Exchange Commission 1,829 41.1% 26.1% 32.8% 64 

Division of Corporation Finance 265 24.5% 34.7% 40.8% 6 

Division of Economic Risk and Analysis 34 47.0% 28.6% 24.4% 2 

Division of Investment Management 26 35.3% 23.6% 41.1% 1 

Division of Trading and Markets 42 29.4% 30.0% 40.6% 2 

Executive Staff 11 55.6% 26.9% 17.5% 0 

National Enforcement Program 415 43.5% 24.2% 32.3% 17 

National Examination Program 489 43.2% 24.3% 32.5% 10 

Office of Acquisitions 35 60.5% 14.5% 25.1% 0 

Office of Chief Accountant 22 34.7% 40.1% 25.2% 1 

Office of Credit Ratings 21 29.9% 31.0% 39.0% 1 

Office of Financial Management 31 45.0% 30.2% 24.8% 2 

Office of General Counsel 43 36.5% 17.7% 45.8% 0 

Office of Human Resources 78 43.7% 24.0% 32.3% 2 

Office of Information Technology 26 40.4% 35.4% 24.1% 1 

Office of Inspector General 26 73.9% 26.1% 0.0% 2 

Office of International Affairs 37 42.6% 23.2% 34.2% 2 

Office of Investor Education and Advocacy 27 34.3% 20.9% 44.8% 3 

Office of Support Operations 34 51.1% 25.5% 23.4% 1 

Office of the Chief Operating Officer 15 46.7% 39.9% 13.4% 0 

Office of the Secretary 17 72.1% 11.2% 16.7% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 32 61.2% 19.0% 19.9% 4 

Regional Operations 98 48.5% 23.3% 28.1% 6 

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My Agency (continued) 

33. Pay raises depend on how well employees perform their jobs. 

Governmentwide 

N 

383,014 

Positive Neutral Negative DNK 

21.1% 26.5% 52.4% 27,671 

Securities and Exchange Commission 1,752 17.1% 22.0% 60.9% 141 

Division of Corporation Finance 254 9.5% 18.5% 72.0% 14 

Division of Economic Risk and Analysis 28 21.2% 37.2% 41.6% 7 

Division of Investment Management 26 9.0% 21.0% 70.1% 1 

Division of Trading and Markets 42 12.7% 32.5% 54.8% 2 

Executive Staff 11 18.5% 36.2% 45.2% 0 

National Enforcement Program 389 12.9% 20.6% 66.5% 44 

National Examination Program 475 15.6% 20.4% 64.0% 25 

Office of Acquisitions 32 21.5% 32.9% 45.6% 3 

Office of Chief Accountant 21 20.6% 19.0% 60.4% 2 

Office of Credit Ratings 22 21.8% 24.3% 53.9% 0 

Office of Financial Management 31 26.9% 11.7% 61.4% 2 

Office of General Counsel 40 11.4% 26.5% 62.2% 3 

Office of Human Resources 75 40.7% 21.3% 38.0% 6 

Office of Information Technology 27 22.6% 24.1% 53.3% 0 

Office of Inspector General 24 67.2% 20.8% 12.0% 3 

Office of International Affairs 36 27.0% 19.8% 53.1% 3 

Office of Investor Education and Advocacy 27 28.6% 11.4% 60.1% 3 

Office of Support Operations 35 39.3% 24.3% 36.4% 0 

Office of the Chief Operating Officer 14 26.2% 43.1% 30.8% 1 

Office of the Secretary 17 50.3% 34.2% 15.6% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 26 34.9% 13.9% 51.1% 10 

Regional Operations 95 24.1% 23.9% 52.0% 11 

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My Agency (continued) 

34.	 Policies and programs promote diversity in the workplace (for example, recruiting minorities and women, training in awareness 

of diversity issues, mentoring). 

Governmentwide 

N 

381,978 

Positive Neutral Negative DNK 

56.5% 28.1% 15.4% 30,877 

Securities and Exchange Commission 1,744 63.4% 20.6% 16.0% 151 

Division of Corporation Finance 237 66.0% 20.2% 13.8% 34 

Division of Economic Risk and Analysis 31 48.2% 48.0% 3.8% 5 

Division of Investment Management 26 39.1% 33.0% 27.9% 2 

Division of Trading and Markets 43 71.5% 14.2% 14.3% 1 

Executive Staff 10 40.4% 20.2% 39.4% 0 

National Enforcement Program 395 60.2% 21.8% 18.0% 40 

National Examination Program 465 65.4% 18.7% 15.9% 34 

Office of Acquisitions 31 63.6% 14.0% 22.4% 3 

Office of Chief Accountant 19 70.3% 24.9% 4.7% 3 

Office of Credit Ratings 21 49.3% 34.4% 16.3% 1 

Office of Financial Management 31 65.0% 16.1% 18.9% 1 

Office of General Counsel 36 66.3% 20.0% 13.6% 7 

Office of Human Resources 79 63.6% 17.1% 19.2% 1 

Office of Information Technology 26 72.4% 24.0% 3.6% 1 

Office of Inspector General 27 79.0% 21.0% 0.0% 1 

Office of International Affairs 35 67.1% 12.9% 20.0% 4 

Office of Investor Education and Advocacy 27 59.7% 14.1% 26.2% 3 

Office of Support Operations 33 75.2% 10.2% 14.6% 2 

Office of the Chief Operating Officer 14 70.4% 20.1% 9.5% 1 

Office of the Secretary 17 76.5% 17.5% 6.0% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 35 74.8% 16.7% 8.5% 1 

Regional Operations 100 60.7% 17.4% 21.8% 6 

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My Agency (continued) 

35. Employees are protected from health and safety hazards on the job. 

Governmentwide 

N 

406,232 

Positive Neutral Negative DNK 

75.9% 13.6% 10.5% 6,356 

Securities and Exchange Commission 1,816 87.9% 9.5% 2.6% 75 

Division of Corporation Finance 257 85.6% 10.6% 3.8% 12 

Division of Economic Risk and Analysis 35 87.8% 8.0% 4.2% 1 

Division of Investment Management 24 84.5% 15.5% 0.0% 3 

Division of Trading and Markets 41 88.4% 8.4% 3.3% 3 

Executive Staff 10 92.1% 7.9% 0.0% 1 

National Enforcement Program 410 88.2% 9.8% 2.0% 25 

National Examination Program 489 86.1% 9.6% 4.3% 9 

Office of Acquisitions 34 94.4% 5.6% 0.0% 1 

Office of Chief Accountant 21 86.1% 13.9% 0.0% 2 

Office of Credit Ratings 21 95.0% 5.0% 0.0% 1 

Office of Financial Management 33 86.9% 9.4% 3.7% 0 

Office of General Counsel 39 90.2% 9.8% 0.0% 4 

Office of Human Resources 78 93.7% 4.9% 1.3% 2 

Office of Information Technology 27 89.5% 10.5% 0.0% 0 

Office of Inspector General 24 96.5% 3.5% 0.0% 3 

Office of International Affairs 38 78.6% 18.8% 2.6% 0 

Office of Investor Education and Advocacy 27 91.0% 9.0% 0.0% 3 

Office of Support Operations 34 91.2% 0.0% 8.8% 1 

Office of the Chief Operating Officer 14 94.3% 5.7% 0.0% 1 

Office of the Secretary 16 100.0% 0.0% 0.0% 1 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 36 89.9% 10.1% 0.0% 0 

Regional Operations 103 88.6% 9.5% 1.9% 2 

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My Agency (continued) 

36. My organization has prepared employees for potential security threats. 

Governmentwide 

N 

406,396 

Positive Neutral Negative DNK 

75.9% 14.1% 10.0% 5,444 

Securities and Exchange Commission 1,827 75.2% 16.9% 7.9% 60 

Division of Corporation Finance 260 74.0% 16.8% 9.3% 10 

Division of Economic Risk and Analysis 33 66.3% 19.6% 14.1% 2 

Division of Investment Management 26 64.0% 31.5% 4.5% 2 

Division of Trading and Markets 42 73.5% 22.8% 3.7% 2 

Executive Staff 9 78.8% 21.2% 0.0% 1 

National Enforcement Program 415 75.7% 15.8% 8.5% 17 

National Examination Program 484 70.9% 19.6% 9.5% 13 

Office of Acquisitions 35 91.1% 6.3% 2.7% 0 

Office of Chief Accountant 22 64.1% 31.5% 4.4% 0 

Office of Credit Ratings 20 74.1% 19.5% 6.4% 1 

Office of Financial Management 33 84.5% 11.8% 3.7% 0 

Office of General Counsel 41 77.3% 9.1% 13.6% 2 

Office of Human Resources 78 79.4% 15.2% 5.3% 3 

Office of Information Technology 27 80.9% 15.6% 3.5% 0 

Office of Inspector General 25 77.2% 22.8% 0.0% 2 

Office of International Affairs 38 59.4% 27.7% 12.9% 1 

Office of Investor Education and Advocacy 29 88.9% 4.5% 6.6% 1 

Office of Support Operations 34 85.9% 8.4% 5.7% 1 

Office of the Chief Operating Officer 15 91.1% 8.9% 0.0% 0 

Office of the Secretary 17 75.3% 19.4% 5.3% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 33 91.0% 9.0% 0.0% 2 

Regional Operations 105 79.6% 8.5% 11.9% 0 

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My Agency (continued) 

37. Arbitrary action, personal favoritism and coercion for partisan political purposes are not tolerated. 

Governmentwide 

N 

387,840 

Positive Neutral Negative DNK 

50.7% 22.8% 26.5% 24,090 

Securities and Exchange Commission 1,724 50.0% 20.7% 29.3% 162 

Division of Corporation Finance 239 42.0% 22.8% 35.1% 27 

Division of Economic Risk and Analysis 30 44.2% 33.9% 22.0% 6 

Division of Investment Management 26 49.1% 17.6% 33.3% 2 

Division of Trading and Markets 41 38.4% 21.4% 40.3% 3 

Executive Staff 11 54.6% 9.3% 36.1% 0 

National Enforcement Program 396 54.7% 18.4% 27.0% 39 

National Examination Program 462 50.0% 20.9% 29.1% 37 

Office of Acquisitions 26 57.4% 20.0% 22.5% 7 

Office of Chief Accountant 20 51.5% 19.0% 29.5% 3 

Office of Credit Ratings 21 49.7% 21.1% 29.2% 1 

Office of Financial Management 30 43.7% 17.0% 39.3% 3 

Office of General Counsel 42 52.5% 20.0% 27.6% 1 

Office of Human Resources 74 40.6% 26.9% 32.5% 6 

Office of Information Technology 24 39.2% 31.5% 29.3% 2 

Office of Inspector General 24 75.8% 20.7% 3.5% 3 

Office of International Affairs 39 53.2% 25.1% 21.7% 0 

Office of Investor Education and Advocacy 26 54.3% 11.7% 34.0% 3 

Office of Support Operations 34 54.8% 24.9% 20.3% 1 

Office of the Chief Operating Officer 14 50.9% 19.4% 29.7% 1 

Office of the Secretary 17 65.2% 30.0% 4.9% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 27 65.8% 4.0% 30.2% 9 

Regional Operations 95 51.3% 20.9% 27.8% 8 

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My Agency (continued) 

38.	 Prohibited Personnel Practices (for example, illegally discriminating for or against any employee/applicant, obstructing a person's 

right to compete for employment, knowingly violating veterans' preference requirements) are not tolerated. 

Governmentwide 

N 

374,659 

Positive Neutral Negative DNK 

65.6% 19.5% 14.9% 36,134 

Securities and Exchange Commission 1,645 68.2% 16.9% 14.8% 235 

Division of Corporation Finance 211 63.4% 19.2% 17.4% 58 

Division of Economic Risk and Analysis 31 63.0% 28.8% 8.1% 5 

Division of Investment Management 25 69.6% 10.9% 19.4% 3 

Division of Trading and Markets 38 65.3% 17.3% 17.5% 6 

Executive Staff 11 64.7% 25.0% 10.3% 0 

National Enforcement Program 370 73.4% 14.0% 12.7% 59 

National Examination Program 443 68.5% 16.3% 15.2% 53 

Office of Acquisitions 31 72.9% 10.8% 16.3% 4 

Office of Chief Accountant 19 63.6% 26.7% 9.7% 4 

Office of Credit Ratings 20 59.0% 20.7% 20.3% 1 

Office of Financial Management 27 45.4% 38.9% 15.8% 5 

Office of General Counsel 41 63.0% 16.6% 20.4% 1 

Office of Human Resources 74 59.6% 18.5% 21.9% 3 

Office of Information Technology 24 69.8% 26.3% 3.8% 3 

Office of Inspector General 25 80.2% 15.2% 4.7% 2 

Office of International Affairs 39 70.6% 7.9% 21.5% 0 

Office of Investor Education and Advocacy 24 50.3% 28.4% 21.3% 6 

Office of Support Operations 34 61.3% 23.9% 14.8% 1 

Office of the Chief Operating Officer 14 71.4% 11.9% 16.7% 1 

Office of the Secretary 16 82.6% 12.3% 5.2% 1 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 31 70.4% 10.1% 19.5% 5 

Regional Operations 91 68.3% 13.5% 18.2% 14 

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My Agency (continued) 

39. My agency is successful at accomplishing its mission. 

Governmentwide 

N 

404,808 

Positive Neutral Negative DNK 

73.2% 17.8% 9.0% 7,655 

Securities and Exchange Commission 1,853 80.0% 13.5% 6.5% 35 

Division of Corporation Finance 264 74.3% 16.5% 9.2% 5 

Division of Economic Risk and Analysis 35 78.8% 18.6% 2.6% 0 

Division of Investment Management 27 76.3% 15.4% 8.3% 0 

Division of Trading and Markets 43 78.2% 14.0% 7.8% 0 

Executive Staff 11 82.5% 7.2% 10.3% 0 

National Enforcement Program 429 79.5% 13.4% 7.1% 5 

National Examination Program 491 78.2% 14.0% 7.8% 8 

Office of Acquisitions 34 88.0% 8.7% 3.3% 1 

Office of Chief Accountant 23 75.5% 12.0% 12.5% 0 

Office of Credit Ratings 20 86.3% 13.7% 0.0% 1 

Office of Financial Management 31 93.2% 6.8% 0.0% 1 

Office of General Counsel 42 81.9% 15.6% 2.5% 1 

Office of Human Resources 79 86.8% 8.6% 4.6% 2 

Office of Information Technology 27 80.6% 16.0% 3.4% 0 

Office of Inspector General 24 95.9% 4.1% 0.0% 2 

Office of International Affairs 38 83.4% 9.0% 7.6% 1 

Office of Investor Education and Advocacy 27 78.0% 22.0% 0.0% 3 

Office of Support Operations 35 91.9% 2.8% 5.3% 0 

Office of the Chief Operating Officer 14 83.4% 16.6% 0.0% 1 

Office of the Secretary 17 89.1% 6.0% 4.9% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 34 79.9% 17.5% 2.6% 1 

Regional Operations 103 88.4% 8.6% 3.0% 2 

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My Agency (continued) 

40. I recommend my organization as a good place to work. 

N Positive Neutral Negative 

Governmentwide 412,958 62.7% 20.9% 16.4% 

Securities and Exchange Commission 1,888 73.9% 15.0% 11.1% 

Division of Corporation Finance 270 70.8% 17.2% 12.0% 

Division of Economic Risk and Analysis 36 73.8% 13.0% 13.2% 

Division of Investment Management 28 58.7% 29.4% 11.9% 

Division of Trading and Markets 44 76.3% 10.8% 12.9% 

Executive Staff 11 81.3% 18.7% 0.0% 

National Enforcement Program 430 79.6% 10.2% 10.2% 

National Examination Program 497 72.5% 17.4% 10.1% 

Office of Acquisitions 35 71.3% 17.2% 11.4% 

Office of Chief Accountant 23 79.5% 8.1% 12.4% 

Office of Credit Ratings 22 68.2% 21.9% 9.9% 

Office of Financial Management 32 73.1% 23.4% 3.5% 

Office of General Counsel 43 66.7% 18.7% 14.6% 

Office of Human Resources 80 64.3% 18.2% 17.4% 

Office of Information Technology 27 66.6% 18.3% 15.1% 

Office of Inspector General 27 89.4% 7.5% 3.1% 

Office of International Affairs 39 68.6% 13.0% 18.4% 

Office of Investor Education and Advocacy 30 57.5% 26.7% 15.8% 

Office of Support Operations 35 83.1% 8.6% 8.3% 

Office of the Chief Operating Officer 15 78.0% 6.3% 15.7% 

Office of the Secretary 17 82.8% 12.4% 4.9% 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 36 78.1% 13.3% 8.6% 

Regional Operations 105 70.8% 16.9% 12.3% 

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My Agency (continued) 

41. I believe the results of this survey will be used to make my agency a better place to work. 

Governmentwide 

N 

379,647 

Positive Neutral Negative DNK 

39.0% 27.5% 33.4% 33,765 

Securities and Exchange Commission 1,751 49.1% 23.5% 27.4% 140 

Division of Corporation Finance 245 50.9% 21.4% 27.7% 24 

Division of Economic Risk and Analysis 33 56.3% 24.3% 19.4% 3 

Division of Investment Management 27 38.3% 11.7% 50.0% 1 

Division of Trading and Markets 40 36.3% 39.8% 23.8% 4 

Executive Staff 11 55.9% 16.3% 27.7% 0 

National Enforcement Program 395 46.3% 23.2% 30.5% 38 

National Examination Program 476 47.8% 22.2% 29.9% 23 

Office of Acquisitions 33 60.1% 18.0% 21.9% 2 

Office of Chief Accountant 19 65.3% 14.7% 20.0% 4 

Office of Credit Ratings 22 46.8% 26.2% 27.0% 0 

Office of Financial Management 31 42.1% 33.4% 24.5% 2 

Office of General Counsel 37 44.1% 21.5% 34.4% 6 

Office of Human Resources 75 51.3% 26.7% 22.1% 5 

Office of Information Technology 27 58.0% 34.7% 7.3% 0 

Office of Inspector General 24 72.7% 19.3% 8.0% 2 

Office of International Affairs 38 58.4% 14.0% 27.6% 1 

Office of Investor Education and Advocacy 28 45.3% 33.4% 21.3% 2 

Office of Support Operations 35 67.6% 21.1% 11.3% 0 

Office of the Chief Operating Officer 14 70.2% 20.2% 9.5% 1 

Office of the Secretary 17 89.3% 5.8% 4.9% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 27 59.6% 25.3% 15.1% 9 

Regional Operations 92 53.8% 17.9% 28.3% 12 

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42. My supervisor supports my need to balance work and other life issues. 

Governmentwide 

N 

410,015 

Positive Neutral Negative DNK 

77.8% 11.1% 11.0% 2,468 

Securities and Exchange Commission 1,884 87.4% 6.0% 6.6% 8 

Division of Corporation Finance 269 88.1% 6.1% 5.8% 0 

Division of Economic Risk and Analysis 36 90.1% 3.1% 6.8% 0 

Division of Investment Management 28 71.2% 16.5% 12.4% 0 

Division of Trading and Markets 44 93.5% 3.9% 2.6% 0 

Executive Staff 11 79.6% 0.0% 20.4% 0 

National Enforcement Program 430 91.4% 3.5% 5.1% 3 

National Examination Program 497 83.6% 7.9% 8.5% 2 

Office of Acquisitions 35 93.9% 2.9% 3.2% 0 

Office of Chief Accountant 23 95.8% 4.2% 0.0% 0 

Office of Credit Ratings 22 100.0% 0.0% 0.0% 0 

Office of Financial Management 33 90.6% 6.0% 3.4% 0 

Office of General Counsel 41 83.7% 13.7% 2.7% 2 

Office of Human Resources 79 88.4% 2.8% 8.8% 0 

Office of Information Technology 27 82.2% 6.6% 11.2% 0 

Office of Inspector General 27 96.2% 3.8% 0.0% 0 

Office of International Affairs 39 77.8% 17.3% 4.9% 0 

Office of Investor Education and Advocacy 30 80.3% 3.7% 16.0% 0 

Office of Support Operations 35 88.5% 0.0% 11.5% 0 

Office of the Chief Operating Officer 15 91.1% 0.0% 8.9% 0 

Office of the Secretary 17 77.6% 16.6% 5.8% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 35 80.4% 8.1% 11.5% 1 

Regional Operations 105 84.4% 8.9% 6.7% 0 

Securities and Exchange Commission 

1st Level Subagency Comparison Report 

My Supervisor 

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1st Level Subagency Comparison Report 

My Supervisor (continued) 

43. My supervisor provides me with opportunities to demonstrate my leadership skills. 

Governmentwide 

N 

409,471 

Positive Neutral Negative DNK 

65.5% 17.3% 17.3% 2,240 

Securities and Exchange Commission 1,879 66.9% 15.5% 17.6% 9 

Division of Corporation Finance 269 61.7% 20.1% 18.2% 0 

Division of Economic Risk and Analysis 36 65.8% 15.2% 19.0% 0 

Division of Investment Management 28 50.3% 22.0% 27.7% 0 

Division of Trading and Markets 43 64.4% 12.9% 22.7% 0 

Executive Staff 11 82.4% 9.1% 8.5% 0 

National Enforcement Program 427 67.6% 16.5% 15.9% 4 

National Examination Program 497 69.0% 15.2% 15.8% 2 

Office of Acquisitions 35 85.7% 7.9% 6.4% 0 

Office of Chief Accountant 23 79.8% 4.1% 16.1% 0 

Office of Credit Ratings 22 66.2% 15.9% 18.0% 0 

Office of Financial Management 32 72.1% 13.1% 14.8% 0 

Office of General Counsel 43 43.6% 18.2% 38.1% 0 

Office of Human Resources 81 77.7% 7.6% 14.6% 0 

Office of Information Technology 27 79.1% 10.9% 9.9% 0 

Office of Inspector General 27 81.8% 14.3% 3.8% 0 

Office of International Affairs 39 67.2% 12.8% 20.1% 0 

Office of Investor Education and Advocacy 29 52.2% 31.6% 16.1% 1 

Office of Support Operations 35 64.7% 11.7% 23.7% 0 

Office of the Chief Operating Officer 15 78.0% 13.1% 8.9% 0 

Office of the Secretary 17 83.0% 11.2% 5.8% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 34 64.9% 17.5% 17.6% 1 

Regional Operations 103 70.9% 7.9% 21.2% 1 

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1st Level Subagency Comparison Report 

My Supervisor (continued) 

44. Discussions with my supervisor about my performance are worthwhile. 

Governmentwide 

N 

404,650 

Positive Neutral Negative DNK 

62.5% 18.7% 18.8% 4,783 

Securities and Exchange Commission 1,851 61.4% 18.8% 19.8% 20 

Division of Corporation Finance 263 59.7% 16.4% 24.0% 1 

Division of Economic Risk and Analysis 35 64.7% 15.7% 19.6% 1 

Division of Investment Management 28 37.7% 38.7% 23.5% 0 

Division of Trading and Markets 43 45.2% 28.7% 26.1% 0 

Executive Staff 10 81.8% 18.2% 0.0% 0 

National Enforcement Program 423 65.1% 18.3% 16.6% 8 

National Examination Program 491 60.5% 18.0% 21.5% 3 

Office of Acquisitions 35 82.3% 5.2% 12.5% 0 

Office of Chief Accountant 22 61.6% 21.6% 16.8% 0 

Office of Credit Ratings 22 62.3% 19.1% 18.6% 0 

Office of Financial Management 32 61.7% 19.6% 18.7% 1 

Office of General Counsel 41 39.6% 22.5% 37.9% 1 

Office of Human Resources 77 65.8% 14.9% 19.4% 2 

Office of Information Technology 26 68.6% 16.6% 14.8% 0 

Office of Inspector General 27 74.9% 25.1% 0.0% 0 

Office of International Affairs 38 59.6% 16.3% 24.1% 0 

Office of Investor Education and Advocacy 28 60.9% 10.1% 29.0% 0 

Office of Support Operations 35 70.9% 17.6% 11.5% 0 

Office of the Chief Operating Officer 14 83.1% 7.3% 9.5% 1 

Office of the Secretary 17 88.8% 11.2% 0.0% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 34 65.9% 13.9% 20.2% 1 

Regional Operations 104 64.9% 15.3% 19.8% 1 

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1st Level Subagency Comparison Report 

My Supervisor (continued) 

45. My supervisor is committed to a workforce representative of all segments of society. 

Governmentwide 

N 

376,582 

Positive Neutral Negative DNK 

66.9% 22.4% 10.7% 34,337 

Securities and Exchange Commission 1,648 72.3% 17.4% 10.2% 237 

Division of Corporation Finance 223 75.5% 18.2% 6.3% 45 

Division of Economic Risk and Analysis 31 71.7% 16.6% 11.7% 5 

Division of Investment Management 26 72.2% 10.3% 17.5% 2 

Division of Trading and Markets 43 56.2% 24.4% 19.4% 1 

Executive Staff 11 91.5% 8.5% 0.0% 0 

National Enforcement Program 355 75.8% 14.3% 9.9% 75 

National Examination Program 435 70.6% 20.0% 9.5% 63 

Office of Acquisitions 33 83.6% 6.2% 10.2% 1 

Office of Chief Accountant 16 76.3% 18.2% 5.5% 7 

Office of Credit Ratings 19 71.7% 28.3% 0.0% 3 

Office of Financial Management 27 56.2% 36.7% 7.1% 5 

Office of General Counsel 37 59.8% 25.1% 15.1% 6 

Office of Human Resources 78 71.6% 17.6% 10.9% 3 

Office of Information Technology 26 79.5% 17.0% 3.5% 1 

Office of Inspector General 25 87.4% 8.5% 4.1% 2 

Office of International Affairs 38 70.6% 12.7% 16.7% 1 

Office of Investor Education and Advocacy 25 64.1% 16.2% 19.7% 5 

Office of Support Operations 34 70.3% 14.9% 14.7% 0 

Office of the Chief Operating Officer 13 67.6% 14.4% 18.0% 2 

Office of the Secretary 16 94.3% 5.7% 0.0% 1 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 34 84.8% 8.8% 6.4% 1 

Regional Operations 97 69.4% 21.1% 9.5% 8 

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1st Level Subagency Comparison Report 

My Supervisor (continued) 

46. My supervisor provides me with constructive suggestions to improve my job performance. 

Governmentwide 

N 

408,296 

Positive Neutral Negative DNK 

61.4% 19.9% 18.7% 2,452 

Securities and Exchange Commission 1,872 61.4% 18.8% 19.8% 10 

Division of Corporation Finance 266 57.8% 19.1% 23.1% 2 

Division of Economic Risk and Analysis 36 70.0% 12.3% 17.7% 0 

Division of Investment Management 27 38.8% 36.6% 24.6% 0 

Division of Trading and Markets 44 57.1% 13.8% 29.2% 0 

Executive Staff 10 82.5% 17.5% 0.0% 0 

National Enforcement Program 427 62.9% 19.2% 17.9% 4 

National Examination Program 494 60.4% 19.2% 20.4% 2 

Office of Acquisitions 35 87.8% 2.5% 9.6% 0 

Office of Chief Accountant 23 66.5% 16.8% 16.7% 0 

Office of Credit Ratings 22 67.6% 12.8% 19.6% 0 

Office of Financial Management 33 62.7% 18.9% 18.3% 0 

Office of General Counsel 43 46.5% 25.0% 28.5% 0 

Office of Human Resources 79 65.8% 16.9% 17.4% 1 

Office of Information Technology 26 65.5% 19.7% 14.8% 0 

Office of Inspector General 27 78.6% 21.4% 0.0% 0 

Office of International Affairs 39 60.2% 19.5% 20.3% 0 

Office of Investor Education and Advocacy 30 61.4% 19.1% 19.5% 0 

Office of Support Operations 35 64.4% 12.2% 23.4% 0 

Office of the Chief Operating Officer 14 76.0% 7.2% 16.9% 1 

Office of the Secretary 17 88.6% 11.4% 0.0% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 35 63.6% 13.5% 22.9% 0 

Regional Operations 104 66.3% 17.5% 16.2% 0 

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My Supervisor (continued) 

47. Supervisors in my work unit support employee development. 

Governmentwide 

N 

404,801 

Positive Neutral Negative DNK 

64.3% 18.5% 17.2% 6,499 

Securities and Exchange Commission 1,848 69.9% 14.9% 15.2% 38 

Division of Corporation Finance 267 72.2% 12.9% 15.0% 1 

Division of Economic Risk and Analysis 36 76.2% 8.6% 15.2% 0 

Division of Investment Management 27 74.8% 8.8% 16.4% 1 

Division of Trading and Markets 44 68.3% 12.5% 19.2% 0 

Executive Staff 10 72.4% 18.2% 9.4% 0 

National Enforcement Program 415 68.9% 17.6% 13.5% 16 

National Examination Program 491 66.2% 16.3% 17.5% 7 

Office of Acquisitions 34 84.2% 6.2% 9.6% 1 

Office of Chief Accountant 23 76.2% 16.1% 7.7% 0 

Office of Credit Ratings 22 68.1% 13.2% 18.7% 0 

Office of Financial Management 33 59.5% 24.3% 16.1% 0 

Office of General Counsel 43 49.1% 21.6% 29.3% 0 

Office of Human Resources 78 74.5% 15.3% 10.2% 2 

Office of Information Technology 26 88.4% 3.7% 8.0% 1 

Office of Inspector General 27 96.2% 0.0% 3.8% 0 

Office of International Affairs 37 70.4% 4.9% 24.7% 2 

Office of Investor Education and Advocacy 28 71.1% 6.8% 22.1% 2 

Office of Support Operations 34 57.5% 21.7% 20.8% 0 

Office of the Chief Operating Officer 14 83.1% 7.3% 9.5% 1 

Office of the Secretary 17 88.6% 11.4% 0.0% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 33 87.6% 5.5% 6.9% 2 

Regional Operations 103 70.0% 17.1% 12.9% 2 

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My Supervisor (continued) 

48. My supervisor listens to what I have to say. 

N Positive Neutral Negative 

Governmentwide 411,425 75.7% 12.3% 12.0% 

Securities and Exchange Commission 1,890 78.9% 9.6% 11.4% 

Division of Corporation Finance 268 79.8% 9.5% 10.7% 

Division of Economic Risk and Analysis 36 75.6% 14.7% 9.6% 

Division of Investment Management 28 82.8% 5.4% 11.8% 

Division of Trading and Markets 44 71.4% 12.1% 16.5% 

Executive Staff 10 100.0% 0.0% 0.0% 

National Enforcement Program 433 81.5% 10.2% 8.4% 

National Examination Program 498 77.1% 9.3% 13.5% 

Office of Acquisitions 35 90.4% 0.0% 9.6% 

Office of Chief Accountant 23 91.6% 0.0% 8.4% 

Office of Credit Ratings 22 84.9% 9.3% 5.8% 

Office of Financial Management 33 69.6% 15.8% 14.6% 

Office of General Counsel 43 64.1% 12.3% 23.6% 

Office of Human Resources 81 81.3% 6.6% 12.0% 

Office of Information Technology 27 74.9% 10.9% 14.3% 

Office of Inspector General 27 96.2% 0.0% 3.8% 

Office of International Affairs 39 81.5% 8.7% 9.8% 

Office of Investor Education and Advocacy 30 65.2% 21.1% 13.7% 

Office of Support Operations 35 76.9% 9.4% 13.8% 

Office of the Chief Operating Officer 15 84.3% 6.8% 8.9% 

Office of the Secretary 17 94.2% 0.0% 5.8% 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 35 82.1% 8.7% 9.1% 

Regional Operations 105 80.2% 7.9% 11.9% 

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My Supervisor (continued) 

49. My supervisor treats me with respect. 

N Positive Neutral Negative 

Governmentwide 410,437 80.9% 10.2% 8.9% 

Securities and Exchange Commission 1,887 83.7% 7.0% 9.3% 

Division of Corporation Finance 269 84.6% 8.1% 7.3% 

Division of Economic Risk and Analysis 35 83.1% 6.3% 10.6% 

Division of Investment Management 27 86.5% 1.2% 12.2% 

Division of Trading and Markets 44 77.7% 5.9% 16.5% 

Executive Staff 10 100.0% 0.0% 0.0% 

National Enforcement Program 432 87.9% 6.1% 6.1% 

National Examination Program 500 83.7% 6.5% 9.8% 

Office of Acquisitions 35 90.4% 6.4% 3.2% 

Office of Chief Accountant 23 86.9% 4.7% 8.4% 

Office of Credit Ratings 22 76.6% 19.8% 3.5% 

Office of Financial Management 33 73.0% 15.7% 11.2% 

Office of General Counsel 42 68.2% 11.4% 20.4% 

Office of Human Resources 80 81.4% 6.4% 12.2% 

Office of Information Technology 26 81.4% 7.3% 11.3% 

Office of Inspector General 27 96.2% 0.0% 3.8% 

Office of International Affairs 39 76.9% 5.4% 17.7% 

Office of Investor Education and Advocacy 30 69.9% 16.3% 13.7% 

Office of Support Operations 35 76.9% 8.5% 14.6% 

Office of the Chief Operating Officer 15 84.3% 6.8% 8.9% 

Office of the Secretary 17 94.2% 0.0% 5.8% 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 35 76.7% 11.3% 12.0% 

Regional Operations 105 83.1% 8.8% 8.1% 

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My Supervisor (continued) 

50. In the last six months, my supervisor has talked with me about my performance. 

N Positive Neutral Negative 

Governmentwide 410,472 77.5% 10.2% 12.3% 

Securities and Exchange Commission 1,884 88.3% 4.2% 7.5% 

Division of Corporation Finance 269 88.3% 4.5% 7.2% 

Division of Economic Risk and Analysis 36 84.4% 6.4% 9.1% 

Division of Investment Management 28 92.4% 0.0% 7.6% 

Division of Trading and Markets 44 92.4% 0.0% 7.6% 

Executive Staff 10 100.0% 0.0% 0.0% 

National Enforcement Program 431 88.6% 3.7% 7.7% 

National Examination Program 497 90.0% 3.4% 6.6% 

Office of Acquisitions 35 100.0% 0.0% 0.0% 

Office of Chief Accountant 23 92.3% 7.7% 0.0% 

Office of Credit Ratings 21 88.3% 6.1% 5.7% 

Office of Financial Management 33 85.4% 0.0% 14.6% 

Office of General Counsel 43 65.9% 14.6% 19.4% 

Office of Human Resources 80 80.1% 11.1% 8.9% 

Office of Information Technology 27 88.5% 7.2% 4.3% 

Office of Inspector General 27 100.0% 0.0% 0.0% 

Office of International Affairs 39 85.6% 4.6% 9.8% 

Office of Investor Education and Advocacy 30 82.9% 13.7% 3.4% 

Office of Support Operations 34 81.7% 12.5% 5.8% 

Office of the Chief Operating Officer 15 91.1% 0.0% 8.9% 

Office of the Secretary 17 100.0% 0.0% 0.0% 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 34 91.3% 2.9% 5.8% 

Regional Operations 105 89.8% 4.0% 6.2% 

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My Supervisor (continued) 

51. I have trust and confidence in my supervisor. 

N Positive Neutral Negative 

Governmentwide 410,689 66.5% 16.5% 16.9% 

Securities and Exchange Commission 1,883 71.2% 12.5% 16.3% 

Division of Corporation Finance 268 72.8% 12.7% 14.6% 

Division of Economic Risk and Analysis 35 71.4% 9.9% 18.7% 

Division of Investment Management 27 69.8% 9.1% 21.1% 

Division of Trading and Markets 44 74.5% 2.9% 22.6% 

Executive Staff 10 100.0% 0.0% 0.0% 

National Enforcement Program 433 72.8% 14.6% 12.6% 

National Examination Program 497 68.8% 16.1% 15.1% 

Office of Acquisitions 35 90.4% 0.0% 9.6% 

Office of Chief Accountant 23 69.9% 17.5% 12.6% 

Office of Credit Ratings 22 72.4% 11.8% 15.8% 

Office of Financial Management 32 59.1% 12.6% 28.4% 

Office of General Counsel 43 53.6% 15.6% 30.8% 

Office of Human Resources 81 71.6% 10.0% 18.4% 

Office of Information Technology 27 67.1% 7.8% 25.1% 

Office of Inspector General 27 89.4% 6.7% 3.8% 

Office of International Affairs 39 64.2% 17.8% 17.9% 

Office of Investor Education and Advocacy 30 62.9% 14.4% 22.6% 

Office of Support Operations 35 74.1% 3.1% 22.8% 

Office of the Chief Operating Officer 15 77.5% 0.0% 22.5% 

Office of the Secretary 17 88.4% 11.6% 0.0% 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 34 79.4% 8.7% 11.9% 

Regional Operations 103 70.3% 13.7% 16.1% 

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My Supervisor (continued) 

52. Overall, how good a job do you feel is being done by your immediate supervisor? 

N Positive Neutral Negative 

Governmentwide 410,877 69.7% 18.0% 12.3% 

Securities and Exchange Commission 1,883 74.3% 15.2% 10.5% 

Division of Corporation Finance 268 76.5% 16.2% 7.3% 

Division of Economic Risk and Analysis 36 76.5% 13.2% 10.2% 

Division of Investment Management 28 68.9% 19.3% 11.8% 

Division of Trading and Markets 44 67.7% 19.0% 13.3% 

Executive Staff 10 100.0% 0.0% 0.0% 

National Enforcement Program 431 78.4% 13.5% 8.1% 

National Examination Program 498 71.8% 16.9% 11.3% 

Office of Acquisitions 35 87.1% 6.4% 6.4% 

Office of Chief Accountant 23 80.0% 11.6% 8.4% 

Office of Credit Ratings 22 72.1% 22.1% 5.8% 

Office of Financial Management 33 72.7% 16.1% 11.2% 

Office of General Counsel 43 58.9% 15.0% 26.1% 

Office of Human Resources 81 68.7% 16.8% 14.5% 

Office of Information Technology 27 67.1% 18.6% 14.3% 

Office of Inspector General 27 86.2% 13.8% 0.0% 

Office of International Affairs 39 67.4% 16.5% 16.2% 

Office of Investor Education and Advocacy 29 73.0% 10.3% 16.7% 

Office of Support Operations 35 77.2% 8.8% 14.0% 

Office of the Chief Operating Officer 15 71.6% 12.7% 15.7% 

Office of the Secretary 17 94.2% 0.0% 5.8% 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 32 77.5% 12.6% 9.9% 

Regional Operations 104 75.6% 15.9% 8.4% 

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Leadership 

53. In my organization, senior leaders generate high levels of motivation and commitment in the workforce. 

Governmentwide 

N 

401,121 

Positive Neutral Negative DNK 

39.0% 24.7% 36.3% 7,849 

Securities and Exchange Commission 1,855 45.9% 20.9% 33.2% 28 

Division of Corporation Finance 263 37.3% 18.6% 44.1% 4 

Division of Economic Risk and Analysis 36 48.1% 26.7% 25.2% 0 

Division of Investment Management 28 30.4% 5.4% 64.2% 0 

Division of Trading and Markets 43 32.2% 25.2% 42.6% 1 

Executive Staff 11 63.0% 18.2% 18.7% 0 

National Enforcement Program 424 52.8% 19.2% 27.9% 7 

National Examination Program 491 42.3% 23.6% 34.1% 6 

Office of Acquisitions 35 51.0% 14.6% 34.5% 0 

Office of Chief Accountant 22 34.6% 39.8% 25.5% 0 

Office of Credit Ratings 22 39.1% 9.0% 52.0% 0 

Office of Financial Management 32 43.3% 35.6% 21.1% 1 

Office of General Counsel 42 34.5% 24.7% 40.9% 1 

Office of Human Resources 79 39.2% 25.3% 35.5% 1 

Office of Information Technology 27 50.3% 27.5% 22.1% 0 

Office of Inspector General 26 84.2% 15.8% 0.0% 1 

Office of International Affairs 38 51.4% 21.5% 27.1% 1 

Office of Investor Education and Advocacy 29 34.7% 23.4% 41.9% 0 

Office of Support Operations 35 53.6% 23.6% 22.8% 0 

Office of the Chief Operating Officer 14 76.9% 6.7% 16.4% 1 

Office of the Secretary 17 82.9% 12.2% 4.9% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 34 58.4% 15.5% 26.1% 2 

Regional Operations 101 52.2% 16.4% 31.4% 2 

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Leadership (continued) 

54. My organization's senior leaders maintain high standards of honesty and integrity. 

Governmentwide 

N 

383,737 

Positive Neutral Negative DNK 

50.4% 24.7% 24.9% 24,649 

Securities and Exchange Commission 1,754 61.1% 17.6% 21.2% 123 

Division of Corporation Finance 236 51.1% 22.3% 26.6% 29 

Division of Economic Risk and Analysis 35 55.7% 22.2% 22.1% 1 

Division of Investment Management 24 39.7% 20.7% 39.6% 3 

Division of Trading and Markets 39 55.9% 21.8% 22.3% 5 

Executive Staff 11 81.3% 8.5% 10.3% 0 

National Enforcement Program 402 69.8% 13.4% 16.8% 29 

National Examination Program 463 60.1% 18.3% 21.6% 33 

Office of Acquisitions 33 60.5% 9.2% 30.3% 1 

Office of Chief Accountant 22 68.9% 18.0% 13.1% 0 

Office of Credit Ratings 22 61.1% 20.4% 18.5% 0 

Office of Financial Management 30 54.1% 27.2% 18.7% 3 

Office of General Counsel 39 58.5% 24.5% 17.0% 4 

Office of Human Resources 79 42.3% 21.0% 36.7% 2 

Office of Information Technology 25 58.8% 21.4% 19.7% 2 

Office of Inspector General 25 91.9% 8.1% 0.0% 2 

Office of International Affairs 37 63.9% 16.1% 20.0% 1 

Office of Investor Education and Advocacy 28 46.6% 21.3% 32.1% 1 

Office of Support Operations 35 60.1% 17.1% 22.8% 0 

Office of the Chief Operating Officer 14 76.3% 7.3% 16.4% 1 

Office of the Secretary 17 82.9% 12.2% 4.9% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 32 66.4% 9.0% 24.6% 2 

Regional Operations 100 62.5% 16.9% 20.6% 4 

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Leadership (continued) 

55. Supervisors work well with employees of different backgrounds. 

Governmentwide 

N 

379,628 

Positive Neutral Negative DNK 

62.9% 22.7% 14.4% 25,756 

Securities and Exchange Commission 1,705 63.8% 18.7% 17.6% 165 

Division of Corporation Finance 227 54.7% 25.6% 19.7% 36 

Division of Economic Risk and Analysis 34 71.1% 18.1% 10.8% 2 

Division of Investment Management 27 58.8% 9.6% 31.6% 1 

Division of Trading and Markets 40 61.5% 19.5% 19.0% 4 

Executive Staff 10 71.5% 9.3% 19.2% 1 

National Enforcement Program 377 68.7% 15.1% 16.2% 47 

National Examination Program 454 64.4% 18.7% 16.8% 41 

Office of Acquisitions 32 62.4% 12.6% 25.0% 2 

Office of Chief Accountant 21 77.2% 18.0% 4.8% 1 

Office of Credit Ratings 21 57.9% 25.6% 16.6% 1 

Office of Financial Management 31 42.9% 40.8% 16.3% 2 

Office of General Counsel 40 52.5% 26.9% 20.6% 3 

Office of Human Resources 79 47.5% 22.4% 30.1% 1 

Office of Information Technology 25 78.5% 13.1% 8.3% 2 

Office of Inspector General 25 88.6% 11.4% 0.0% 2 

Office of International Affairs 37 60.2% 19.0% 20.8% 2 

Office of Investor Education and Advocacy 24 46.5% 33.6% 19.9% 4 

Office of Support Operations 35 74.1% 14.7% 11.3% 0 

Office of the Chief Operating Officer 14 76.9% 6.7% 16.4% 1 

Office of the Secretary 16 87.2% 12.8% 0.0% 1 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 32 62.5% 24.3% 13.2% 4 

Regional Operations 98 55.5% 19.9% 24.6% 7 

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Leadership (continued) 

56. Managers communicate the goals and priorities of the organization. 

Governmentwide 

N 

401,551 

Positive Neutral Negative DNK 

59.1% 20.8% 20.1% 5,334 

Securities and Exchange Commission 1,847 59.7% 18.7% 21.6% 20 

Division of Corporation Finance 263 55.1% 17.1% 27.8% 2 

Division of Economic Risk and Analysis 36 59.5% 19.8% 20.7% 0 

Division of Investment Management 27 44.8% 22.4% 32.8% 0 

Division of Trading and Markets 41 35.6% 27.8% 36.6% 2 

Executive Staff 10 61.7% 27.1% 11.2% 0 

National Enforcement Program 419 62.2% 15.6% 22.2% 5 

National Examination Program 491 64.4% 18.1% 17.5% 2 

Office of Acquisitions 35 78.6% 11.3% 10.1% 0 

Office of Chief Accountant 21 63.8% 13.4% 22.8% 0 

Office of Credit Ratings 22 33.1% 23.7% 43.2% 0 

Office of Financial Management 31 75.5% 21.6% 2.9% 2 

Office of General Counsel 43 50.5% 22.6% 27.0% 0 

Office of Human Resources 81 60.9% 18.8% 20.3% 0 

Office of Information Technology 25 50.0% 38.4% 11.6% 1 

Office of Inspector General 26 81.9% 14.7% 3.4% 1 

Office of International Affairs 39 59.1% 11.8% 29.1% 0 

Office of Investor Education and Advocacy 29 48.3% 17.2% 34.5% 0 

Office of Support Operations 35 74.2% 11.6% 14.3% 0 

Office of the Chief Operating Officer 14 69.7% 30.3% 0.0% 1 

Office of the Secretary 17 89.3% 5.8% 4.9% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 34 74.7% 14.2% 11.1% 2 

Regional Operations 102 57.9% 21.7% 20.5% 2 

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Leadership (continued) 

57. Managers review and evaluate the organization's progress toward meeting its goals and objectives. 

Governmentwide 

N 

379,267 

Positive Neutral Negative DNK 

58.8% 24.3% 16.9% 27,154 

Securities and Exchange Commission 1,690 60.8% 22.3% 16.9% 171 

Division of Corporation Finance 234 56.7% 22.0% 21.4% 28 

Division of Economic Risk and Analysis 30 57.7% 11.9% 30.4% 5 

Division of Investment Management 23 50.2% 30.8% 19.0% 4 

Division of Trading and Markets 41 36.3% 38.0% 25.7% 3 

Executive Staff 10 41.6% 47.2% 11.2% 0 

National Enforcement Program 369 61.1% 22.0% 17.0% 60 

National Examination Program 456 68.0% 18.6% 13.4% 35 

Office of Acquisitions 31 87.7% 6.9% 5.4% 3 

Office of Chief Accountant 20 58.4% 9.2% 32.5% 2 

Office of Credit Ratings 21 46.5% 28.3% 25.2% 0 

Office of Financial Management 31 79.1% 18.0% 2.9% 2 

Office of General Counsel 36 39.1% 39.7% 21.2% 6 

Office of Human Resources 77 63.2% 21.6% 15.2% 4 

Office of Information Technology 22 57.0% 24.9% 18.1% 3 

Office of Inspector General 26 77.3% 15.7% 7.0% 1 

Office of International Affairs 36 54.2% 22.5% 23.3% 3 

Office of Investor Education and Advocacy 24 46.9% 28.8% 24.2% 4 

Office of Support Operations 33 78.8% 9.0% 12.2% 1 

Office of the Chief Operating Officer 14 62.2% 37.8% 0.0% 1 

Office of the Secretary 17 89.3% 5.8% 4.9% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 30 70.5% 23.5% 6.1% 5 

Regional Operations 103 64.5% 20.2% 15.3% 1 

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Leadership (continued) 

58. Managers promote communication among different work units (for example, about projects, goals, needed resources). 

Governmentwide 

N 

393,192 

Positive Neutral Negative DNK 

50.5% 23.2% 26.3% 14,282 

Securities and Exchange Commission 1,810 53.5% 21.1% 25.4% 69 

Division of Corporation Finance 258 44.6% 23.4% 32.0% 8 

Division of Economic Risk and Analysis 34 52.5% 18.8% 28.7% 2 

Division of Investment Management 26 31.1% 37.7% 31.3% 2 

Division of Trading and Markets 42 36.1% 27.7% 36.3% 2 

Executive Staff 10 51.5% 28.0% 20.4% 0 

National Enforcement Program 412 58.1% 18.7% 23.2% 18 

National Examination Program 475 57.2% 18.8% 24.1% 20 

Office of Acquisitions 35 60.2% 21.3% 18.6% 0 

Office of Chief Accountant 22 56.3% 13.3% 30.4% 0 

Office of Credit Ratings 22 43.0% 28.6% 28.4% 0 

Office of Financial Management 32 57.4% 23.2% 19.4% 1 

Office of General Counsel 42 39.6% 25.8% 34.7% 1 

Office of Human Resources 80 53.7% 19.0% 27.3% 1 

Office of Information Technology 27 58.1% 23.2% 18.6% 0 

Office of Inspector General 27 75.0% 14.3% 10.7% 0 

Office of International Affairs 37 52.2% 14.3% 33.5% 2 

Office of Investor Education and Advocacy 26 35.9% 30.1% 33.9% 3 

Office of Support Operations 34 61.0% 21.5% 17.6% 0 

Office of the Chief Operating Officer 15 58.3% 21.5% 20.1% 0 

Office of the Secretary 17 83.3% 11.8% 4.9% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 31 66.8% 17.0% 16.3% 5 

Regional Operations 100 59.2% 18.1% 22.7% 4 

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Leadership (continued) 

59. Managers support collaboration across work units to accomplish work objectives. 

Governmentwide 

N 

392,340 

Positive Neutral Negative DNK 

54.2% 23.3% 22.5% 14,928 

Securities and Exchange Commission 1,816 58.5% 20.1% 21.4% 59 

Division of Corporation Finance 256 48.7% 23.5% 27.8% 9 

Division of Economic Risk and Analysis 32 69.4% 10.4% 20.2% 3 

Division of Investment Management 25 38.4% 42.1% 19.6% 3 

Division of Trading and Markets 42 34.5% 30.6% 34.9% 2 

Executive Staff 10 71.7% 7.9% 20.4% 0 

National Enforcement Program 419 64.2% 15.0% 20.8% 10 

National Examination Program 483 61.4% 16.9% 21.6% 11 

Office of Acquisitions 33 70.8% 16.0% 13.2% 1 

Office of Chief Accountant 21 63.2% 23.6% 13.2% 1 

Office of Credit Ratings 22 54.4% 30.2% 15.4% 0 

Office of Financial Management 33 51.4% 36.3% 12.4% 0 

Office of General Counsel 42 53.8% 28.1% 18.0% 1 

Office of Human Resources 80 58.1% 17.9% 24.0% 1 

Office of Information Technology 27 53.8% 31.9% 14.3% 0 

Office of Inspector General 27 74.6% 14.3% 11.2% 0 

Office of International Affairs 36 61.7% 17.0% 21.3% 3 

Office of Investor Education and Advocacy 25 48.9% 19.4% 31.6% 4 

Office of Support Operations 34 73.5% 11.8% 14.7% 1 

Office of the Chief Operating Officer 14 76.1% 9.5% 14.3% 1 

Office of the Secretary 17 83.3% 11.8% 4.9% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 31 62.0% 25.3% 12.7% 5 

Regional Operations 101 58.9% 19.3% 21.8% 3 

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Leadership (continued) 

60. Overall, how good a job do you feel is being done by the manager directly above your immediate supervisor? 

Governmentwide 

N 

384,360 

Positive Neutral Negative DNK 

56.8% 23.8% 19.5% 23,479 

Securities and Exchange Commission 1,788 63.6% 19.3% 17.1% 84 

Division of Corporation Finance 258 63.8% 21.0% 15.3% 8 

Division of Economic Risk and Analysis 34 68.4% 22.0% 9.6% 2 

Division of Investment Management 24 63.0% 18.3% 18.7% 4 

Division of Trading and Markets 38 65.4% 19.4% 15.2% 6 

Executive Staff 10 71.1% 17.4% 11.4% 0 

National Enforcement Program 408 65.4% 18.1% 16.5% 20 

National Examination Program 474 60.0% 17.3% 22.7% 20 

Office of Acquisitions 35 59.9% 20.8% 19.3% 0 

Office of Chief Accountant 22 69.8% 4.1% 26.2% 0 

Office of Credit Ratings 22 57.6% 17.8% 24.6% 0 

Office of Financial Management 32 62.1% 27.4% 10.5% 1 

Office of General Counsel 40 47.0% 34.5% 18.5% 3 

Office of Human Resources 80 58.3% 20.7% 21.1% 1 

Office of Information Technology 27 69.0% 19.8% 11.2% 0 

Office of Inspector General 26 89.3% 10.7% 0.0% 1 

Office of International Affairs 37 55.4% 25.4% 19.2% 1 

Office of Investor Education and Advocacy 29 47.9% 20.9% 31.3% 0 

Office of Support Operations 34 70.3% 17.9% 11.7% 1 

Office of the Chief Operating Officer 15 71.7% 12.6% 15.7% 0 

Office of the Secretary 16 93.8% 6.2% 0.0% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 25 71.9% 15.0% 13.1% 9 

Regional Operations 97 67.3% 19.8% 12.9% 7 

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Leadership (continued) 

61. I have a high level of respect for my organization's senior leaders. 

Governmentwide 

N 

402,356 

Positive Neutral Negative DNK 

51.4% 24.4% 24.3% 5,387 

Securities and Exchange Commission 1,855 56.8% 20.6% 22.6% 18 

Division of Corporation Finance 265 46.3% 19.5% 34.2% 1 

Division of Economic Risk and Analysis 36 59.7% 26.0% 14.3% 0 

Division of Investment Management 28 33.6% 34.1% 32.3% 0 

Division of Trading and Markets 44 48.2% 29.0% 22.9% 0 

Executive Staff 10 71.1% 8.0% 20.8% 0 

National Enforcement Program 421 62.4% 18.6% 19.0% 7 

National Examination Program 492 55.2% 20.2% 24.5% 2 

Office of Acquisitions 35 65.0% 12.1% 22.9% 0 

Office of Chief Accountant 21 68.0% 13.5% 18.4% 0 

Office of Credit Ratings 22 53.5% 24.2% 22.3% 0 

Office of Financial Management 32 66.8% 26.2% 7.0% 1 

Office of General Counsel 42 56.2% 17.7% 26.1% 1 

Office of Human Resources 80 47.5% 23.1% 29.4% 1 

Office of Information Technology 26 60.4% 24.2% 15.4% 1 

Office of Inspector General 26 92.9% 7.1% 0.0% 1 

Office of International Affairs 37 58.7% 10.1% 31.2% 1 

Office of Investor Education and Advocacy 29 51.8% 17.5% 30.6% 0 

Office of Support Operations 35 57.6% 22.2% 20.2% 0 

Office of the Chief Operating Officer 15 78.0% 0.0% 22.0% 0 

Office of the Secretary 17 95.1% 0.0% 4.9% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 32 62.7% 22.4% 14.8% 2 

Regional Operations 104 57.0% 21.8% 21.2% 0 

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Leadership (continued) 

62. Senior leaders demonstrate support for Work/Life programs. 

Governmentwide 

N 

371,258 

Positive Neutral Negative DNK 

53.4% 27.1% 19.5% 36,507 

Securities and Exchange Commission 1,761 65.7% 20.4% 13.9% 114 

Division of Corporation Finance 248 48.1% 28.5% 23.4% 17 

Division of Economic Risk and Analysis 34 74.3% 20.0% 5.7% 2 

Division of Investment Management 27 44.4% 24.9% 30.7% 1 

Division of Trading and Markets 39 66.1% 22.2% 11.7% 4 

Executive Staff 8 64.1% 35.9% 0.0% 0 

National Enforcement Program 384 67.9% 20.0% 12.1% 46 

National Examination Program 476 69.3% 17.3% 13.4% 19 

Office of Acquisitions 34 76.7% 8.9% 14.4% 1 

Office of Chief Accountant 22 77.9% 17.7% 4.4% 0 

Office of Credit Ratings 22 71.7% 14.0% 14.3% 0 

Office of Financial Management 31 66.9% 23.5% 9.6% 2 

Office of General Counsel 39 75.0% 19.6% 5.4% 4 

Office of Human Resources 79 68.1% 17.7% 14.1% 2 

Office of Information Technology 27 70.1% 18.7% 11.2% 0 

Office of Inspector General 26 92.7% 7.3% 0.0% 1 

Office of International Affairs 37 53.1% 28.6% 18.3% 2 

Office of Investor Education and Advocacy 28 60.8% 21.2% 17.9% 1 

Office of Support Operations 34 67.2% 21.0% 11.8% 1 

Office of the Chief Operating Officer 14 71.6% 18.8% 9.5% 1 

Office of the Secretary 17 78.1% 21.9% 0.0% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 31 73.5% 20.0% 6.5% 4 

Regional Operations 98 65.6% 19.3% 15.1% 6 

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My Satisfaction 

63. How satisfied are you with your involvement in decisions that affect your work? 

N Positive Neutral Negative 

Governmentwide 406,408 49.6% 23.4% 26.9% 

Securities and Exchange Commission 1,874 56.1% 18.1% 25.8% 

Division of Corporation Finance 267 48.9% 24.8% 26.3% 

Division of Economic Risk and Analysis 36 51.1% 27.0% 21.8% 

Division of Investment Management 28 51.4% 8.7% 39.9% 

Division of Trading and Markets 44 57.1% 8.2% 34.7% 

Executive Staff 9 66.2% 11.7% 22.1% 

National Enforcement Program 430 56.9% 19.1% 24.0% 

National Examination Program 494 56.6% 20.0% 23.4% 

Office of Acquisitions 34 62.8% 17.0% 20.2% 

Office of Chief Accountant 22 60.8% 22.7% 16.5% 

Office of Credit Ratings 22 38.9% 48.3% 12.8% 

Office of Financial Management 33 59.8% 24.8% 15.4% 

Office of General Counsel 43 46.0% 10.0% 44.0% 

Office of Human Resources 80 51.0% 17.6% 31.3% 

Office of Information Technology 27 70.5% 8.2% 21.3% 

Office of Inspector General 27 78.3% 14.6% 7.1% 

Office of International Affairs 39 57.7% 10.6% 31.7% 

Office of Investor Education and Advocacy 29 46.4% 14.4% 39.2% 

Office of Support Operations 35 56.0% 15.0% 29.0% 

Office of the Chief Operating Officer 15 58.9% 19.1% 22.0% 

Office of the Secretary 16 82.3% 12.5% 5.2% 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 34 70.3% 11.9% 17.9% 

Regional Operations 104 54.9% 16.6% 28.4% 

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My Satisfaction (continued) 

64. How satisfied are you with the information you receive from management on what's going on in your organization? 

N Positive Neutral Negative 

Governmentwide 405,736 46.8% 24.0% 29.2% 

Securities and Exchange Commission 1,872 52.1% 18.6% 29.3% 

Division of Corporation Finance 264 46.0% 21.4% 32.6% 

Division of Economic Risk and Analysis 36 59.7% 14.4% 25.9% 

Division of Investment Management 28 38.7% 17.0% 44.3% 

Division of Trading and Markets 44 38.0% 17.2% 44.8% 

Executive Staff 10 50.6% 18.4% 31.0% 

National Enforcement Program 428 54.8% 18.1% 27.1% 

National Examination Program 495 53.5% 19.6% 26.8% 

Office of Acquisitions 35 60.3% 23.9% 15.8% 

Office of Chief Accountant 22 52.0% 26.2% 21.7% 

Office of Credit Ratings 22 29.5% 34.1% 36.4% 

Office of Financial Management 33 64.7% 15.3% 19.9% 

Office of General Counsel 43 32.4% 15.3% 52.3% 

Office of Human Resources 80 47.8% 23.8% 28.4% 

Office of Information Technology 27 54.3% 23.7% 22.0% 

Office of Inspector General 27 71.9% 17.8% 10.2% 

Office of International Affairs 38 54.7% 13.2% 32.2% 

Office of Investor Education and Advocacy 29 45.2% 19.4% 35.4% 

Office of Support Operations 35 67.8% 5.7% 26.5% 

Office of the Chief Operating Officer 15 84.8% 6.3% 8.9% 

Office of the Secretary 16 82.3% 12.5% 5.2% 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 35 63.4% 14.6% 22.0% 

Regional Operations 104 53.6% 17.8% 28.6% 

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My Satisfaction (continued) 

65. How satisfied are you with the recognition you receive for doing a good job? 

N Positive Neutral Negative 

Governmentwide 404,473 46.6% 23.8% 29.5% 

Securities and Exchange Commission 1,863 50.6% 20.0% 29.5% 

Division of Corporation Finance 267 36.4% 25.8% 37.8% 

Division of Economic Risk and Analysis 35 70.7% 16.6% 12.7% 

Division of Investment Management 28 42.9% 28.9% 28.2% 

Division of Trading and Markets 43 52.0% 14.2% 33.8% 

Executive Staff 10 50.6% 28.6% 20.8% 

National Enforcement Program 426 52.9% 19.7% 27.4% 

National Examination Program 491 50.2% 20.6% 29.2% 

Office of Acquisitions 34 62.3% 14.6% 23.1% 

Office of Chief Accountant 21 50.1% 22.6% 27.4% 

Office of Credit Ratings 22 42.0% 19.4% 38.6% 

Office of Financial Management 33 55.6% 26.7% 17.7% 

Office of General Counsel 42 40.5% 5.2% 54.3% 

Office of Human Resources 79 48.9% 22.5% 28.5% 

Office of Information Technology 27 46.0% 23.9% 30.1% 

Office of Inspector General 27 85.4% 7.6% 7.0% 

Office of International Affairs 39 50.9% 28.0% 21.1% 

Office of Investor Education and Advocacy 29 44.3% 11.1% 44.6% 

Office of Support Operations 35 68.2% 11.5% 20.2% 

Office of the Chief Operating Officer 15 65.5% 6.8% 27.8% 

Office of the Secretary 16 100.0% 0.0% 0.0% 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 35 57.5% 13.5% 29.0% 

Regional Operations 103 49.7% 20.0% 30.3% 

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My Satisfaction (continued) 

66. How satisfied are you with the policies and practices of your senior leaders? 

N Positive Neutral Negative 

Governmentwide 404,697 40.8% 29.8% 29.4% 

Securities and Exchange Commission 1,866 45.8% 24.8% 29.5% 

Division of Corporation Finance 265 34.8% 29.2% 35.9% 

Division of Economic Risk and Analysis 36 43.5% 29.3% 27.2% 

Division of Investment Management 28 30.4% 13.8% 55.8% 

Division of Trading and Markets 44 35.5% 27.4% 37.1% 

Executive Staff 10 50.6% 18.4% 31.0% 

National Enforcement Program 425 50.9% 25.2% 23.9% 

National Examination Program 493 46.5% 23.8% 29.8% 

Office of Acquisitions 35 54.4% 8.7% 36.9% 

Office of Chief Accountant 22 61.0% 17.8% 21.1% 

Office of Credit Ratings 21 35.1% 25.2% 39.7% 

Office of Financial Management 33 46.6% 31.5% 21.9% 

Office of General Counsel 43 37.8% 24.4% 37.8% 

Office of Human Resources 80 34.2% 29.7% 36.1% 

Office of Information Technology 27 49.9% 27.1% 23.0% 

Office of Inspector General 27 78.3% 15.3% 6.4% 

Office of International Affairs 39 47.2% 20.9% 31.9% 

Office of Investor Education and Advocacy 29 44.9% 17.6% 37.5% 

Office of Support Operations 35 50.9% 23.5% 25.6% 

Office of the Chief Operating Officer 14 55.3% 28.4% 16.3% 

Office of the Secretary 16 81.7% 13.1% 5.2% 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 34 54.3% 20.0% 25.7% 

Regional Operations 104 49.0% 25.0% 26.0% 

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My Satisfaction (continued) 

67. How satisfied are you with your opportunity to get a better job in your organization? 

N Positive Neutral Negative 

Governmentwide 404,808 34.8% 27.5% 37.7% 

Securities and Exchange Commission 1,868 31.5% 25.7% 42.9% 

Division of Corporation Finance 265 30.1% 27.0% 42.9% 

Division of Economic Risk and Analysis 35 39.6% 33.1% 27.3% 

Division of Investment Management 28 25.2% 14.2% 60.6% 

Division of Trading and Markets 43 34.0% 24.4% 41.7% 

Executive Staff 10 60.7% 10.4% 28.9% 

National Enforcement Program 429 24.6% 24.9% 50.5% 

National Examination Program 495 33.5% 26.1% 40.3% 

Office of Acquisitions 34 43.1% 28.2% 28.7% 

Office of Chief Accountant 21 25.4% 42.5% 32.1% 

Office of Credit Ratings 22 19.8% 37.2% 43.0% 

Office of Financial Management 32 46.6% 8.6% 44.8% 

Office of General Counsel 43 22.8% 33.4% 43.8% 

Office of Human Resources 80 32.6% 34.8% 32.7% 

Office of Information Technology 27 42.8% 19.1% 38.2% 

Office of Inspector General 27 58.8% 22.3% 18.9% 

Office of International Affairs 38 34.5% 31.7% 33.8% 

Office of Investor Education and Advocacy 29 23.7% 39.3% 37.0% 

Office of Support Operations 35 44.0% 27.3% 28.7% 

Office of the Chief Operating Officer 15 39.1% 19.7% 41.3% 

Office of the Secretary 16 57.5% 29.6% 12.9% 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 34 36.5% 34.1% 29.4% 

Regional Operations 104 35.7% 25.3% 39.0% 

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My Satisfaction (continued) 

68. How satisfied are you with the training you receive for your present job? 

N Positive Neutral Negative 

Governmentwide 404,872 51.6% 23.8% 24.6% 

Securities and Exchange Commission 1,867 62.4% 22.2% 15.4% 

Division of Corporation Finance 266 67.1% 19.7% 13.2% 

Division of Economic Risk and Analysis 36 65.2% 22.2% 12.6% 

Division of Investment Management 27 60.6% 23.1% 16.3% 

Division of Trading and Markets 44 64.7% 28.4% 6.9% 

Executive Staff 10 78.2% 21.8% 0.0% 

National Enforcement Program 425 62.0% 22.4% 15.6% 

National Examination Program 494 55.9% 24.8% 19.3% 

Office of Acquisitions 35 67.8% 20.5% 11.7% 

Office of Chief Accountant 22 69.3% 17.7% 13.1% 

Office of Credit Ratings 22 50.5% 20.6% 28.9% 

Office of Financial Management 33 72.2% 13.0% 14.8% 

Office of General Counsel 43 50.9% 28.7% 20.4% 

Office of Human Resources 79 56.2% 25.9% 17.9% 

Office of Information Technology 26 85.6% 10.3% 4.1% 

Office of Inspector General 27 82.5% 10.4% 7.1% 

Office of International Affairs 39 50.8% 31.6% 17.5% 

Office of Investor Education and Advocacy 29 51.5% 29.4% 19.1% 

Office of Support Operations 35 68.1% 11.5% 20.5% 

Office of the Chief Operating Officer 15 78.4% 12.7% 8.9% 

Office of the Secretary 16 57.0% 36.6% 6.4% 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 34 68.2% 14.1% 17.7% 

Regional Operations 104 58.3% 23.0% 18.8% 

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My Satisfaction (continued) 

69. Considering everything, how satisfied are you with your job? 

N Positive Neutral Negative 

Governmentwide 404,704 65.2% 17.9% 16.9% 

Securities and Exchange Commission 1,867 71.0% 14.5% 14.5% 

Division of Corporation Finance 264 70.2% 16.6% 13.3% 

Division of Economic Risk and Analysis 35 64.4% 21.4% 14.2% 

Division of Investment Management 27 57.7% 21.4% 20.9% 

Division of Trading and Markets 44 65.7% 18.8% 15.5% 

Executive Staff 10 80.2% 10.4% 9.4% 

National Enforcement Program 428 75.4% 11.1% 13.5% 

National Examination Program 492 70.7% 14.8% 14.5% 

Office of Acquisitions 35 62.6% 14.3% 23.2% 

Office of Chief Accountant 22 78.9% 8.3% 12.9% 

Office of Credit Ratings 22 57.9% 31.6% 10.5% 

Office of Financial Management 33 77.5% 12.8% 9.7% 

Office of General Counsel 43 59.2% 19.8% 21.1% 

Office of Human Resources 80 66.9% 14.9% 18.2% 

Office of Information Technology 27 74.4% 11.8% 13.8% 

Office of Inspector General 27 85.1% 6.7% 8.2% 

Office of International Affairs 39 67.1% 15.8% 17.0% 

Office of Investor Education and Advocacy 28 60.9% 11.8% 27.3% 

Office of Support Operations 34 66.6% 21.5% 11.8% 

Office of the Chief Operating Officer 15 65.8% 12.2% 22.0% 

Office of the Secretary 16 93.9% 0.0% 6.1% 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 36 75.2% 8.1% 16.7% 

Regional Operations 104 73.4% 17.2% 9.4% 

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My Satisfaction (continued) 

70. Considering everything, how satisfied are you with your pay? 

N Positive Neutral Negative 

Governmentwide 405,405 57.1% 17.3% 25.6% 

Securities and Exchange Commission 1,879 62.9% 14.7% 22.4% 

Division of Corporation Finance 267 59.1% 15.1% 25.8% 

Division of Economic Risk and Analysis 36 68.8% 10.7% 20.6% 

Division of Investment Management 28 66.2% 21.0% 12.8% 

Division of Trading and Markets 43 42.8% 33.8% 23.3% 

Executive Staff 10 68.8% 21.8% 9.4% 

National Enforcement Program 431 60.3% 16.5% 23.2% 

National Examination Program 495 62.7% 10.8% 26.5% 

Office of Acquisitions 35 70.7% 18.2% 11.1% 

Office of Chief Accountant 22 68.5% 13.5% 18.1% 

Office of Credit Ratings 22 54.8% 26.2% 19.0% 

Office of Financial Management 33 66.5% 9.6% 23.9% 

Office of General Counsel 43 74.0% 5.0% 21.0% 

Office of Human Resources 80 75.0% 4.7% 20.2% 

Office of Information Technology 27 77.5% 6.9% 15.6% 

Office of Inspector General 27 84.0% 9.0% 7.0% 

Office of International Affairs 39 72.3% 15.5% 12.2% 

Office of Investor Education and Advocacy 29 60.0% 20.5% 19.5% 

Office of Support Operations 35 70.9% 14.2% 14.9% 

Office of the Chief Operating Officer 15 71.5% 8.9% 19.6% 

Office of the Secretary 16 83.6% 16.4% 0.0% 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 36 66.4% 7.8% 25.8% 

Regional Operations 104 60.9% 13.1% 26.1% 

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My Satisfaction (continued) 

71. Considering everything, how satisfied are you with your organization? 

N Positive Neutral Negative 

Governmentwide 405,517 55.7% 22.0% 22.3% 

Securities and Exchange Commission 1,866 66.1% 17.3% 16.6% 

Division of Corporation Finance 267 62.2% 18.0% 19.8% 

Division of Economic Risk and Analysis 35 64.0% 23.6% 12.4% 

Division of Investment Management 28 45.1% 34.4% 20.5% 

Division of Trading and Markets 44 60.7% 16.7% 22.6% 

Executive Staff 10 71.1% 17.4% 11.4% 

National Enforcement Program 424 70.2% 13.3% 16.5% 

National Examination Program 495 64.6% 19.4% 15.9% 

Office of Acquisitions 35 62.6% 20.4% 17.1% 

Office of Chief Accountant 21 77.7% 13.3% 8.9% 

Office of Credit Ratings 22 76.8% 12.8% 10.5% 

Office of Financial Management 33 72.5% 17.3% 10.2% 

Office of General Counsel 43 66.9% 20.5% 12.6% 

Office of Human Resources 79 61.4% 12.8% 25.8% 

Office of Information Technology 26 65.9% 15.2% 18.9% 

Office of Inspector General 26 89.0% 11.0% 0.0% 

Office of International Affairs 39 64.9% 12.3% 22.8% 

Office of Investor Education and Advocacy 29 48.3% 31.6% 20.1% 

Office of Support Operations 35 68.2% 15.0% 16.8% 

Office of the Chief Operating Officer 15 78.0% 13.1% 8.9% 

Office of the Secretary 16 88.5% 6.4% 5.2% 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 34 74.2% 17.2% 8.7% 

Regional Operations 104 66.9% 23.6% 9.5% 

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Work/Life 

72. Have you been notified whether or not you are eligible to telework? 

Notified 

Notified not Not Not sure 

N eligible eligible notified notified 

Governmentwide 404,547 37.6% 21.3% 31.2% 9.8% 

Securities and Exchange Commission 1,853 84.9% 1.9% 5.7% 7.5% 

Division of Corporation Finance 266 84.8% 1.8% 6.9% 6.5% 

Division of Economic Risk and Analysis 36 85.8% 0.0% 5.5% 8.7% 

Division of Investment Management 28 91.9% 0.0% 8.1% 0.0% 

Division of Trading and Markets 44 71.4% 10.9% 7.1% 10.6% 

Executive Staff 10 38.9% 0.0% 11.4% 49.6% 

National Enforcement Program 426 83.5% 1.0% 4.9% 10.6% 

National Examination Program 487 89.4% 1.1% 5.7% 3.8% 

Office of Acquisitions 35 95.4% 0.0% 4.6% 0.0% 

Office of Chief Accountant 22 90.7% 0.0% 4.9% 4.4% 

Office of Credit Ratings 21 95.0% 0.0% 0.0% 5.0% 

Office of Financial Management 33 91.3% 0.0% 6.1% 2.6% 

Office of General Counsel 42 81.4% 0.0% 6.1% 12.5% 

Office of Human Resources 78 86.8% 1.2% 5.2% 6.8% 

Office of Information Technology 25 95.3% 0.0% 0.0% 4.7% 

Office of Inspector General 27 86.3% 0.0% 0.0% 13.7% 

Office of International Affairs 39 83.3% 4.8% 4.5% 7.4% 

Office of Investor Education and Advocacy 28 92.3% 0.0% 0.0% 7.7% 

Office of Support Operations 34 73.1% 3.2% 20.5% 3.2% 

Office of the Chief Operating Officer 14 100.0% 0.0% 0.0% 0.0% 

Office of the Secretary 17 47.8% 35.7% 11.2% 5.3% 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 33 72.3% 8.7% 3.3% 15.8% 

Regional Operations 102 83.2% 1.7% 6.6% 8.5% 

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Work/Life (continued) 

73. Please select the response below that BEST describes your current teleworking situation. 

Telework 

No More 

Than 1-2 

N 

3+ Days 

Per Week 

1-2 Days 

Per Week 

Days Per 

Month Infrequently 

Governmentwide 400,800 4.8% 10.9% 4.5% 11.1% 

Securities and Exchange Commission 1,864 10.1% 36.5% 11.2% 27.5% 

Division of Corporation Finance 267 30.8% 36.1% 3.4% 10.2% 

Division of Economic Risk and Analysis 36 3.4% 37.1% 15.2% 39.6% 

Division of Investment Management 28 15.0% 46.6% 5.4% 27.8% 

Division of Trading and Markets 44 4.6% 22.4% 19.5% 42.3% 

Executive Staff 9 0.0% 0.0% 11.5% 53.5% 

National Enforcement Program 426 3.3% 28.3% 15.9% 34.9% 

National Examination Program 491 13.4% 49.7% 8.3% 20.1% 

Office of Acquisitions 34 5.4% 75.3% 2.2% 13.7% 

Office of Chief Accountant 22 5.1% 12.3% 32.9% 44.7% 

Office of Credit Ratings 22 9.0% 48.4% 13.7% 19.2% 

Office of Financial Management 33 26.7% 50.6% 3.0% 11.3% 

Office of General Counsel 43 3.8% 24.6% 3.1% 44.5% 

Office of Human Resources 79 11.0% 45.6% 14.0% 19.5% 

Office of Information Technology 27 4.2% 57.7% 7.4% 26.4% 

Office of Inspector General 27 0.0% 29.9% 26.1% 26.8% 

Office of International Affairs 38 2.3% 29.1% 23.1% 26.8% 

Office of Investor Education and Advocacy 29 24.1% 50.5% 7.6% 17.7% 

Office of Support Operations 34 9.1% 20.2% 4.7% 24.8% 

Office of the Chief Operating Officer 15 0.0% 41.1% 8.0% 24.8% 

Office of the Secretary 17 6.0% 6.4% 0.0% 35.2% 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 34 3.2% 15.4% 8.1% 32.1% 

Regional Operations 103 2.1% 27.4% 14.7% 34.8% 

(continued) 

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Work/Life (continued) 

73. Please select the response below that BEST describes your current teleworking situation. (continued) 

Do Not Telework 

Not 

Must Be Allowed Choose 

N 

Physically 

Present 

Technical 

Issues 

To 

Telework 

Not To 

Telework 

Governmentwide 400,800 31.7% 4.7% 19.8% 12.5% 

Securities and Exchange Commission 1,864 1.2% 0.5% 1.7% 11.3% 

Division of Corporation Finance 267 0.7% 1.1% 3.1% 14.7% 

Division of Economic Risk and Analysis 36 0.0% 0.0% 2.1% 2.5% 

Division of Investment Management 28 0.0% 0.0% 0.0% 5.2% 

Division of Trading and Markets 44 0.0% 0.0% 2.8% 8.3% 

Executive Staff 9 11.7% 0.0% 0.0% 23.3% 

National Enforcement Program 426 0.5% 0.2% 0.9% 16.0% 

National Examination Program 491 0.3% 0.5% 0.7% 7.0% 

Office of Acquisitions 34 0.0% 0.0% 0.0% 3.3% 

Office of Chief Accountant 22 0.0% 4.9% 0.0% 0.0% 

Office of Credit Ratings 22 0.0% 0.0% 0.0% 9.8% 

Office of Financial Management 33 0.0% 0.0% 0.0% 8.4% 

Office of General Counsel 43 0.0% 2.2% 2.5% 19.2% 

Office of Human Resources 79 0.0% 0.0% 4.0% 6.0% 

Office of Information Technology 27 0.0% 0.0% 0.0% 4.3% 

Office of Inspector General 27 0.0% 3.8% 3.3% 10.1% 

Office of International Affairs 38 2.5% 0.0% 2.3% 14.1% 

Office of Investor Education and Advocacy 29 0.0% 0.0% 0.0% 0.0% 

Office of Support Operations 34 23.9% 2.9% 6.1% 8.3% 

Office of the Chief Operating Officer 15 0.0% 0.0% 0.0% 26.1% 

Office of the Secretary 17 23.7% 5.8% 17.5% 5.3% 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 34 3.2% 0.0% 12.7% 25.2% 

Regional Operations 103 5.3% 0.8% 2.8% 12.1% 

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Work/Life (continued) 

74. Do you participate in the following Work/Life programs? Alternative Work Schedules (AWS) 

Not Available 

N Yes No To Me 

Governmentwide 403,625 33.1% 46.0% 20.9% 

Securities and Exchange Commission 1,861 52.8% 45.8% 1.4% 

Division of Corporation Finance 263 56.3% 42.6% 1.1% 

Division of Economic Risk and Analysis 36 42.7% 54.1% 3.2% 

Division of Investment Management 28 56.2% 40.1% 3.7% 

Division of Trading and Markets 42 48.3% 47.7% 3.9% 

Executive Staff 10 28.6% 71.4% 0.0% 

National Enforcement Program 429 47.9% 51.7% 0.4% 

National Examination Program 492 65.0% 34.7% 0.3% 

Office of Acquisitions 35 69.8% 30.2% 0.0% 

Office of Chief Accountant 22 26.4% 73.6% 0.0% 

Office of Credit Ratings 21 60.8% 39.2% 0.0% 

Office of Financial Management 33 71.1% 28.9% 0.0% 

Office of General Counsel 43 27.9% 72.1% 0.0% 

Office of Human Resources 78 53.1% 45.8% 1.1% 

Office of Information Technology 26 51.1% 48.9% 0.0% 

Office of Inspector General 27 34.5% 43.8% 21.7% 

Office of International Affairs 39 49.9% 46.5% 3.6% 

Office of Investor Education and Advocacy 28 42.5% 53.9% 3.5% 

Office of Support Operations 34 53.7% 40.3% 5.9% 

Office of the Chief Operating Officer 15 26.3% 59.5% 14.2% 

Office of the Secretary 17 45.7% 54.3% 0.0% 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 33 28.4% 61.5% 10.2% 

Regional Operations 104 57.3% 41.8% 0.8% 

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Work/Life (continued) 

75.	 Do you participate in the following Work/Life programs? Health and Wellness Programs (for example, exercise, medical 

screening, quit smoking programs) 

Not Available 

N Yes No To Me 

Governmentwide 402,481 27.4% 60.7% 11.9% 

Securities and Exchange Commission 1,852 22.4% 72.5% 5.1% 

Division of Corporation Finance 264 24.6% 75.4% 0.0% 

Division of Economic Risk and Analysis 36 32.2% 67.8% 0.0% 

Division of Investment Management 28 30.8% 69.2% 0.0% 

Division of Trading and Markets 43 36.4% 63.1% 0.6% 

Executive Staff 10 22.0% 68.5% 9.4% 

National Enforcement Program 422 16.4% 77.3% 6.2% 

National Examination Program 487 16.6% 73.5% 10.0% 

Office of Acquisitions 34 20.4% 79.6% 0.0% 

Office of Chief Accountant 22 19.6% 76.0% 4.4% 

Office of Credit Ratings 22 29.5% 65.7% 4.8% 

Office of Financial Management 32 14.0% 78.7% 7.4% 

Office of General Counsel 42 34.2% 63.3% 2.5% 

Office of Human Resources 78 35.1% 61.3% 3.6% 

Office of Information Technology 27 24.3% 72.3% 3.4% 

Office of Inspector General 27 61.0% 35.9% 3.1% 

Office of International Affairs 39 33.8% 66.2% 0.0% 

Office of Investor Education and Advocacy 29 45.7% 51.3% 3.0% 

Office of Support Operations 34 32.3% 64.5% 3.2% 

Office of the Chief Operating Officer 15 13.0% 87.0% 0.0% 

Office of the Secretary 17 31.5% 68.5% 0.0% 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 35 34.7% 59.4% 5.9% 

Regional Operations 103 15.2% 73.9% 11.0% 

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Work/Life (continued) 

76. Do you participate in the following Work/Life programs? Employee Assistance Program (EAP) 

Not Available 

N Yes No To Me 

Governmentwide 398,860 13.9% 80.7% 5.4% 

Securities and Exchange Commission 1,842 6.5% 90.7% 2.8% 

Division of Corporation Finance 264 4.6% 94.2% 1.2% 

Division of Economic Risk and Analysis 36 8.7% 84.0% 7.3% 

Division of Investment Management 28 9.9% 90.1% 0.0% 

Division of Trading and Markets 43 5.7% 94.3% 0.0% 

Executive Staff 10 0.0% 100.0% 0.0% 

National Enforcement Program 425 6.6% 90.5% 2.9% 

National Examination Program 486 3.1% 91.0% 6.0% 

Office of Acquisitions 35 19.8% 80.2% 0.0% 

Office of Chief Accountant 22 0.0% 100.0% 0.0% 

Office of Credit Ratings 20 5.9% 88.9% 5.2% 

Office of Financial Management 33 14.4% 82.2% 3.4% 

Office of General Counsel 42 5.1% 94.9% 0.0% 

Office of Human Resources 77 17.7% 81.0% 1.2% 

Office of Information Technology 26 3.3% 96.7% 0.0% 

Office of Inspector General 26 12.2% 84.6% 3.2% 

Office of International Affairs 39 5.9% 94.1% 0.0% 

Office of Investor Education and Advocacy 28 11.3% 88.7% 0.0% 

Office of Support Operations 31 9.9% 86.6% 3.5% 

Office of the Chief Operating Officer 15 6.3% 93.7% 0.0% 

Office of the Secretary 15 12.8% 87.2% 0.0% 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 35 5.8% 85.0% 9.2% 

Regional Operations 100 10.0% 89.0% 1.1% 

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Work/Life (continued) 

77.	 Do you participate in the following Work/Life programs? Child Care Programs (for example, daycare, parenting classes, 

parenting support groups) 

Not Available 

N Yes No To Me 

Governmentwide 403,125 3.8% 78.8% 17.4% 

Securities and Exchange Commission 1,858 7.6% 87.8% 4.6% 

Division of Corporation Finance 265 7.2% 92.1% 0.7% 

Division of Economic Risk and Analysis 35 8.3% 79.9% 11.8% 

Division of Investment Management 28 8.4% 87.7% 3.9% 

Division of Trading and Markets 43 6.3% 93.7% 0.0% 

Executive Staff 10 0.0% 100.0% 0.0% 

National Enforcement Program 424 10.4% 84.6% 5.0% 

National Examination Program 489 5.4% 86.1% 8.5% 

Office of Acquisitions 35 3.2% 94.3% 2.5% 

Office of Chief Accountant 22 17.8% 77.8% 4.4% 

Office of Credit Ratings 22 0.0% 95.2% 4.8% 

Office of Financial Management 32 2.8% 94.5% 2.7% 

Office of General Counsel 43 8.3% 91.7% 0.0% 

Office of Human Resources 79 10.6% 86.9% 2.5% 

Office of Information Technology 27 4.3% 92.3% 3.4% 

Office of Inspector General 27 16.1% 83.9% 0.0% 

Office of International Affairs 38 4.8% 92.9% 2.3% 

Office of Investor Education and Advocacy 29 15.5% 84.5% 0.0% 

Office of Support Operations 34 2.9% 94.2% 2.9% 

Office of the Chief Operating Officer 15 5.9% 94.1% 0.0% 

Office of the Secretary 16 6.8% 87.6% 5.7% 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 35 0.0% 94.4% 5.6% 

Regional Operations 104 8.5% 86.8% 4.8% 

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Work/Life (continued) 

78. Do you participate in the following Work/Life programs? Elder Care Programs (for example, support groups, speakers) 

Not Available 

N Yes No To Me 

Governmentwide 403,461 2.4% 80.1% 17.5% 

Securities and Exchange Commission 1,856 2.5% 92.2% 5.3% 

Division of Corporation Finance 266 3.1% 95.3% 1.6% 

Division of Economic Risk and Analysis 36 2.1% 79.3% 18.6% 

Division of Investment Management 27 0.0% 96.0% 4.0% 

Division of Trading and Markets 43 3.4% 93.6% 3.0% 

Executive Staff 9 0.0% 100.0% 0.0% 

National Enforcement Program 425 2.1% 93.8% 4.0% 

National Examination Program 488 1.3% 88.9% 9.8% 

Office of Acquisitions 34 3.3% 94.1% 2.6% 

Office of Chief Accountant 22 0.0% 95.6% 4.4% 

Office of Credit Ratings 21 0.0% 95.0% 5.0% 

Office of Financial Management 33 2.7% 93.9% 3.4% 

Office of General Counsel 43 7.0% 88.1% 4.9% 

Office of Human Resources 79 12.2% 85.3% 2.5% 

Office of Information Technology 27 0.0% 96.6% 3.4% 

Office of Inspector General 27 7.9% 85.4% 6.7% 

Office of International Affairs 38 2.3% 92.9% 4.8% 

Office of Investor Education and Advocacy 29 3.5% 96.5% 0.0% 

Office of Support Operations 34 2.9% 91.0% 6.1% 

Office of the Chief Operating Officer 15 0.0% 93.6% 6.4% 

Office of the Secretary 17 0.0% 94.7% 5.3% 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 34 0.0% 96.8% 3.2% 

Regional Operations 103 6.3% 89.9% 3.8% 

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Work/Life (continued) 

79. How satisfied are you with the following Work/Life programs in your agency? Telework* 

N 

Governmentwide 190,959 

Positive Neutral Negative NBJ 

78.2% 12.8% 9.1% 6,780 

Securities and Exchange Commission 1,575 86.3% 8.0% 5.8% 13 

Division of Corporation Finance 214 89.9% 4.8% 5.3% 0 

Division of Economic Risk and Analysis 34 86.7% 7.6% 5.7% 0 

Division of Investment Management 25 90.0% 5.7% 4.2% 0 

Division of Trading and Markets 38 74.3% 18.5% 7.2% 0 

Executive Staff 5 78.5% 0.0% 21.5% 0 

National Enforcement Program 350 86.7% 6.8% 6.5% 5 

National Examination Program 452 85.6% 7.9% 6.5% 2 

Office of Acquisitions 34 94.9% 5.1% 0.0% 0 

Office of Chief Accountant 21 89.9% 5.5% 4.6% 0 

Office of Credit Ratings 20 94.7% 5.3% 0.0% 0 

Office of Financial Management 29 87.8% 12.2% 0.0% 0 

Office of General Counsel 33 77.8% 9.6% 12.6% 0 

Office of Human Resources 69 91.6% 3.9% 4.5% 2 

Office of Information Technology 26 89.6% 6.8% 3.6% 0 

Office of Inspector General 22 85.7% 10.0% 4.3% 0 

Office of International Affairs 32 77.1% 17.4% 5.5% 0 

Office of Investor Education and Advocacy 26 92.4% 3.9% 3.7% 2 

Office of Support Operations 20 84.1% 10.9% 4.9% 0 

Office of the Chief Operating Officer 11 88.0% 12.0% 0.0% 0 

Office of the Secretary 8 73.2% 15.9% 10.9% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 20 89.8% 10.2% 0.0% 1 

Regional Operations 80 83.2% 12.0% 4.8% 1 

*The results for this item only include employees who indicated that they participated in this program. 

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Work/Life (continued) 

80. How satisfied are you with the following Work/Life programs in your agency? Alternative Work Schedules (AWS)* 

N 

Governmentwide 151,249 

Positive Neutral Negative NBJ 

89.0% 7.5% 3.5% 2,908 

Securities and Exchange Commission 989 93.4% 4.3% 2.4% 12 

Division of Corporation Finance 145 90.0% 7.2% 2.9% 2 

Division of Economic Risk and Analysis 16 95.0% 0.0% 5.0% 0 

Division of Investment Management 16 100.0% 0.0% 0.0% 0 

Division of Trading and Markets 24 94.6% 5.4% 0.0% 0 

Executive Staff 3 100.0% 0.0% 0.0% 0 

National Enforcement Program 203 93.6% 4.4% 2.0% 2 

National Examination Program 307 93.7% 3.4% 2.8% 5 

Office of Acquisitions 24 100.0% 0.0% 0.0% 0 

Office of Chief Accountant 6 83.4% 0.0% 16.6% 0 

Office of Credit Ratings 13 100.0% 0.0% 0.0% 0 

Office of Financial Management 23 100.0% 0.0% 0.0% 0 

Office of General Counsel 12 90.3% 9.7% 0.0% 0 

Office of Human Resources 41 97.0% 3.0% 0.0% 0 

Office of Information Technology 14 79.6% 13.7% 6.7% 0 

Office of Inspector General 9 78.3% 21.7% 0.0% 0 

Office of International Affairs 20 90.3% 9.7% 0.0% 0 

Office of Investor Education and Advocacy 12 100.0% 0.0% 0.0% 1 

Office of Support Operations 17 88.0% 0.0% 12.0% 1 

Office of the Chief Operating Officer 3 100.0% 0.0% 0.0% 0 

Office of the Secretary 8 100.0% 0.0% 0.0% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 10 91.3% 8.7% 0.0% 1 

Regional Operations 60 98.2% 0.0% 1.8% 0 

*The results for this item only include employees who indicated that they participated in this program. 

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Work/Life (continued) 

81.	 How satisfied are you with the following Work/Life programs in your agency? Health and Wellness Programs (for example, 

exercise, medical screening, quit smoking programs)* 

N 

Governmentwide 106,036 

Positive Neutral Negative NBJ 

79.9% 16.5% 3.6% 7,380 

Securities and Exchange Commission 383 82.4% 13.7% 3.9% 22 

Division of Corporation Finance 65 82.9% 13.8% 3.3% 2 

Division of Economic Risk and Analysis 9 100.0% 0.0% 0.0% 1 

Division of Investment Management 8 59.8% 27.2% 13.1% 0 

Division of Trading and Markets 11 88.2% 11.8% 0.0% 1 

Executive Staff 2 100.0% 0.0% 0.0% 0 

National Enforcement Program 63 77.5% 19.5% 3.0% 4 

National Examination Program 69 84.5% 11.1% 4.4% 9 

Office of Acquisitions 7 69.6% 16.1% 14.3% 1 

Office of Chief Accountant 4 75.0% 25.0% 0.0% 0 

Office of Credit Ratings 6 100.0% 0.0% 0.0% 0 

Office of Financial Management 6 100.0% 0.0% 0.0% 0 

Office of General Counsel 15 86.0% 14.0% 0.0% 0 

Office of Human Resources 27 95.5% 4.5% 0.0% 1 

Office of Information Technology 7 69.8% 12.5% 17.7% 0 

Office of Inspector General 16 80.5% 19.5% 0.0% 0 

Office of International Affairs 13 92.9% 7.1% 0.0% 0 

Office of Investor Education and Advocacy 12 92.1% 7.9% 0.0% 0 

Office of Support Operations 11 80.7% 19.3% 0.0% 0 

Office of the Chief Operating Officer 2 100.0% 0.0% 0.0% 0 

Office of the Secretary 4 74.8% 25.2% 0.0% 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 11 90.3% 0.0% 9.7% 1 

Regional Operations 15 79.6% 7.1% 13.3% 2 

*The results for this item only include employees who indicated that they participated in this program. 

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Work/Life (continued) 

82. How satisfied are you with the following Work/Life programs in your agency? Employee Assistance Program (EAP)* 

N 

Governmentwide 55,156 

Positive Neutral Negative NBJ 

74.8% 20.9% 4.4% 8,714 

Securities and Exchange Commission 128 77.4% 18.1% 4.5% 20 

Division of Corporation Finance 14 70.1% 29.9% 0.0% 1 

Division of Economic Risk and Analysis 2 52.3% 47.7% 0.0% 1 

Division of Investment Management 3 100.0% 0.0% 0.0% 0 

Division of Trading and Markets 2 100.0% 0.0% 0.0% 0 

Executive Staff 0 -- -- -- 0 

National Enforcement Program 29 78.7% 19.8% 1.5% 4 

National Examination Program 17 78.9% 21.1% 0.0% 4 

Office of Acquisitions 6 41.6% 58.4% 0.0% 0 

Office of Chief Accountant 0 -- -- -- 0 

Office of Credit Ratings 1 0.0% 100.0% 0.0% 1 

Office of Financial Management 5 100.0% 0.0% 0.0% 0 

Office of General Counsel 3 31.5% 35.9% 32.6% 0 

Office of Human Resources 14 100.0% 0.0% 0.0% 1 

Office of Information Technology 2 42.9% 0.0% 57.1% 0 

Office of Inspector General 2 49.3% 50.7% 0.0% 2 

Office of International Affairs 2 59.3% 40.7% 0.0% 0 

Office of Investor Education and Advocacy 3 100.0% 0.0% 0.0% 1 

Office of Support Operations 5 78.7% 21.3% 0.0% 1 

Office of the Chief Operating Officer 1 100.0% 0.0% 0.0% 0 

Office of the Secretary 2 100.0% 0.0% 0.0% 2 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 2 100.0% 0.0% 0.0% 0 

Regional Operations 12 74.4% 17.9% 7.7% 2 

*The results for this item only include employees who indicated that they participated in this program. 

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Work/Life (continued) 

83.	 How satisfied are you with the following Work/Life programs in your agency? Child Care Programs (for example, daycare, 

parenting classes, parenting support groups)* 

N 

Governmentwide 10,781 

Positive Neutral Negative NBJ 

71.6% 24.4% 4.1% 4,620 

Securities and Exchange Commission 126 86.9% 10.8% 2.3% 19 

Division of Corporation Finance 17 88.1% 6.3% 5.6% 2 

Division of Economic Risk and Analysis 3 66.1% 33.9% 0.0% 1 

Division of Investment Management 2 100.0% 0.0% 0.0% 0 

Division of Trading and Markets 2 100.0% 0.0% 0.0% 0 

Executive Staff 0 -- -- -- 0 

National Enforcement Program 44 91.3% 7.2% 1.5% 5 

National Examination Program 24 78.7% 17.0% 4.3% 3 

Office of Acquisitions 1 0.0% 100.0% 0.0% 0 

Office of Chief Accountant 4 100.0% 0.0% 0.0% 0 

Office of Credit Ratings 0 -- -- -- 0 

Office of Financial Management 1 100.0% 0.0% 0.0% 1 

Office of General Counsel 3 66.4% 33.6% 0.0% 0 

Office of Human Resources 6 100.0% 0.0% 0.0% 2 

Office of Information Technology 1 100.0% 0.0% 0.0% 0 

Office of Inspector General 2 52.2% 47.8% 0.0% 2 

Office of International Affairs 3 32.2% 67.8% 0.0% 0 

Office of Investor Education and Advocacy 3 100.0% 0.0% 0.0% 1 

Office of Support Operations 0 -- -- -- 1 

Office of the Chief Operating Officer 1 100.0% 0.0% 0.0% 0 

Office of the Secretary 1 100.0% 0.0% 0.0% 1 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 0 -- -- -- 0 

Regional Operations 8 74.3% 13.7% 12.0% 0 

*The results for this item only include employees who indicated that they participated in this program. 

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Work/Life (continued) 

84.	 How satisfied are you with the following Work/Life programs in your agency? Elder Care Programs (for example, support groups, 

speakers)* 

N 

Governmentwide 7,497 

Positive Neutral Negative NBJ 

66.3% 31.3% 2.4% 3,831 

Securities and Exchange Commission 43 70.4% 25.1% 4.5% 23 

Division of Corporation Finance 7 86.5% 13.5% 0.0% 2 

Division of Economic Risk and Analysis 0 -- -- -- 1 

Division of Investment Management 0 -- -- -- 1 

Division of Trading and Markets 1 100.0% 0.0% 0.0% 1 

Executive Staff 0 -- -- -- 1 

National Enforcement Program 8 55.4% 38.9% 5.7% 4 

National Examination Program 6 51.4% 20.7% 27.9% 4 

Office of Acquisitions 1 0.0% 100.0% 0.0% 1 

Office of Chief Accountant 0 -- -- -- 0 

Office of Credit Ratings 0 -- -- -- 1 

Office of Financial Management 1 100.0% 0.0% 0.0% 0 

Office of General Counsel 3 63.8% 36.2% 0.0% 0 

Office of Human Resources 7 100.0% 0.0% 0.0% 2 

Office of Information Technology 0 -- -- -- 0 

Office of Inspector General 1 0.0% 100.0% 0.0% 1 

Office of International Affairs 1 100.0% 0.0% 0.0% 1 

Office of Investor Education and Advocacy 1 0.0% 100.0% 0.0% 0 

Office of Support Operations 0 -- -- -- 1 

Office of the Chief Operating Officer 0 -- -- -- 0 

Office of the Secretary 0 -- -- -- 0 

Other (ALJ, OIAD, OEC, OEEO, OMS, OMWI, OPA) 0 -- -- -- 1 

Regional Operations 6 100.0% 0.0% 0.0% 1 

*The results for this item only include employees who indicated that they participated in this program. 

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Demographic Questions 

Where do you work? 

N % 

Headquarters 969 52.2% 

Field 886 47.8% 

What is your supervisory status? 

Non-Supervisor 

N 

1,235 

% 

66.8% 

Team Leader 245 13.3% 

Supervisor 196 10.6% 

Manager 97 5.2% 

Senior Leader 76 4.1% 

Are you: 

N % 

Male 980 53.9% 

Female 839 46.1% 

Are you Hispanic or Latino? 

N % 

Yes 103 5.7% 

No 1,690 94.3% 

Race 

American Indian or Alaska Native 

N % 

3 0.2% 

Asian 146 8.4% 

Black or African American 242 14.0% 

Native Hawaiian or Other Pacific Islander 3 0.2% 

White 1,293 74.7% 

Two or more races 43 2.5% 

Note: Percentages for demographic questions are unweighted. 

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Demographic Questions (continued) 

What is the highest degree or level of education you have completed? 

Less than High School 

N % 

0 0.0%
 

High School Diploma/GED or equivalent 23 1.3%
 

Trade or Technical Certificate 10 0.5%
 

Some College (no degree) 95 5.2%
 

Associate's Degree (e.g., AA, AS) 35 1.9%
 

Bachelor's Degree (e.g., BA, BS) 504 27.4%
 

Master's Degree (e.g., MA, MS, MBA) 398 21.7%
 

Doctoral/Professional Degree (e.g., Ph.D., MD, JD) 772 42.0%
 

What is your pay category/grade? 

Federal Wage System 

N % 

15 0.8%
 

GS 1-6 5 0.3%
 

GS 7-12 138 7.6%
 

GS 13-15 766 42.0%
 

Senior Executive Service 64 3.5%
 

Senior Level (SL) or Scientific or Professional (ST) 29 1.6%
 

Other 806 44.2%
 

How long have you been with the Federal Government (excluding military service)? 

Less than 1 year 

N

19 

% 

1.0% 

1 to 3 years 220 12.0% 

4 to 5 years 165 9.0% 

6 to 10 years 337 18.4% 

11 to 14 years 392 21.4% 

15 to 20 years 312 17.0% 

More than 20 years 386 21.1% 

Note: Percentages for demographic questions are unweighted. 

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Demographic Questions (continued) 

How long have you been with your current agency (for example, Department of Justice, 

Environmental Protection Agency)? 

Less than 1 year 

N

54 

% 

3.0% 

1 to 3 years 339 18.7% 

4 to 5 years 178 9.8% 

6 to 10 years 318 17.5% 

11 to 20 years 677 37.3% 

More than 20 years 251 13.8% 

Are you considering leaving your organization within the next year, and if so, why? 

No 

N % 

1,439 78.5%
 

Yes, to retire 40 2.2%
 

Yes, to take another job within the Federal Government 132 7.2%
 

Yes, to take another job outside the Federal Government 146 8.0%
 

Yes, other 76 4.1%
 

I am planning to retire: 

Within one year 

N 

21 

% 

1.2% 

Between one and three years 98 5.4% 

Between three and five years 117 6.5% 

Five or more years 1,577 87.0% 

Self-Identify as: 

Heterosexual or Straight 

N 

1,428 

% 

83.8% 

Gay, Lesbian, Bisexual, or Transgender 80 4.7% 

I prefer not to say 197 11.6% 

What is your US military service status? 

No Prior Military Service 

N 

1,631 

% 

91.2% 

Currently in National Guard or Reserves 8 0.4% 

Retired 38 2.1% 

Separated or Discharged 111 6.2% 

Note: Percentages for demographic questions are unweighted. 

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Demographic Questions (continued) 

Are you an individual with a disability? 

N % 

Yes 114 6.3% 

No 1,682 93.7% 

What is your age group? 

25 and under 

N

2 

% 

0.1% 

26-29 35 1.8% 

30-39 470 24.5% 

40-49 705 36.7% 

50-59 522 27.2% 

60 or older 187 9.7% 

Note: Percentages for demographic questions are unweighted. 

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