United States.

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This paper discusses key findings of the Detailed Assessment of Implementation of the IOSCO (International Organization of Securities Commissions) Objectives and Principles of Securities Regulation on the United States. The United States has large, well-developed, and complex securities and derivati...

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Detalles Bibliográficos
Clasificación:Libro Electrónico
Autor principal: Department, International Monetary Fund. Monetary and Capital Markets
Formato: Electrónico eBook
Idioma:Inglés
Publicado: Washington : International Monetary Fund, 2015.
Colección:IMF Staff Country Reports.
Temas:
International Monetary Fund > United States.
International Monetary Fund
Securities > United States.
Capital market > United States.
Financial institutions > State supervision > United States.
Financial institutions > United States > Accounting.
Financial institutions > United States > Auditing.
Marché financier > États-Unis.
Institutions financières > Contrôle de l'État > États-Unis.
Institutions financières > États-Unis > Comptabilité.
Capital market
Economic policy
Financial institutions > Accounting
Financial institutions > Auditing
Financial institutions > State supervision
Securities
United States > Economic policy.
États-Unis > Politique économique.
United States
Acceso en línea:Texto completo
Tabla de Contenidos:
  • Cover Page; Title Page; Copyright Page; Contents; Tables; Glossary; Executive Summary; Introduction; Information and Methodology Used for Assessment; Institutional and Market Structure-Overview; A. Regulatory Structure; B. Market Structure; 1. Key Equity Market Information; 2. Investment Company Total Net Assets by Type; 3. Institutional and Retail Ownership of Mutual Funds; 4. Number of Commodity Pool Operators and their AUM; 5. Registered Broker-Dealers; 6. SEC Registered Investment Advisers; 7. Derivatives Market Intermediaries Registered with the CFTC.
  • Preconditions for Effective Securities RegulationMain Findings; Summary Implementation of the IOSCO Principles; 8. Summary Implementation of the IOSCO Principles-Detailed Assessments; Recommended Action Plan and Authorities' Response; 9. Recommended Action Plan to Improve Implementation of the IOSCO Principles; C. Authorities' Response to the Assessment; Detailed Assessment; 10. Detailed Assessment of Implementation of the IOSCO Principles; Footnotes.

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