Slides from keynote of October 3rd Transformation and Innovation Breakfast Briefing

1. Information technology at the SEC Corey Booth Chief Information Officer “ Transformation and Innovation” National Press Club October 3, 2007

3. SEC strategic objectives “ The mission of the Securities and Exchange Commission is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation.”

5. Our three-part strategy Program effectiveness Agencywide infrastructure and support IT management processes Electronic disclosure Workflow and content management Electronic discovery Analytical tools Staff productivity, flexibility, and support Technical “backbone” Back office systems Information security and privacy IT governance IT people management

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17. Portfolio management: Enforcement Referral and inquiry Investigation Litigation Financial management/ collections Distributions Document management/workflow Management reporting Phase 1 – Post-judgment management (2006-07) Phase 2 – attorney case portfolio management (2007-08)

18. Portfolio management: Examination Risk assessment and exam targeting Research/ preliminary data gathering Fieldwork and onsite data gathering Exam level assessment Reporting Document management/workflow Management reporting “ RADIUS” (2008+) RADAR (2007) OASIS (2008) “ eSTARS” (2008+)

20. The SEC’s enterprise architecture Technical reference model Data reference model Applications/services reference model Business reference model

22. What is the agency’s operating model? Level of information integration Business process standardization General Electric McDonald’s Citigroup Wal-Mart

23. What is the agency’s operating model? Level of information integration Business process standardization “ Current state EA” “ Future state EA” (Actual future state)