03889nam 2200721 450 991046348520332120200520144314.01-4755-5800-71-4755-5746-9(CKB)2670000000615442(EBL)2040172(SSID)ssj0001541619(PQKBManifestationID)11862927(PQKBTitleCode)TC0001541619(PQKBWorkID)11536931(PQKB)10835016(MiAaPQ)EBC2040150(MiAaPQ)EBC2040172(Au-PeEL)EBL2040150(CaPaEBR)ebr11052018(OCoLC)908671324(Au-PeEL)EBL2040172(CaONFJC)MIL779871(OCoLC)908671297(EXLCZ)99267000000061544220150514h20152015 uy 0engurcnu||||||||txtccrUnited States Financial Sector Assessment Program-detailed assessment of implementation on the IOSCO objectives and principles of securities regulation /International Monetary FundWashington, District of Columbia :International Monetary Fund,2015.©20151 online resource (249 p.)IMF Country Report ;Number 15/91Description based upon print version of record.1-4843-1282-1 1-4755-4624-6 Cover; CONTENTS; GLOSSARY; EXECUTIVE SUMMARY; INTRODUCTION; INFORMATION AND METHODOLOGY USED FOR ASSESSMENT; INSTITUTIONAL AND MARKET STRUCTURE-OVERVIEW; A. Regulatory Structure; B. Market Structure; TABLES; 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; PRECONDITIONS FOR EFFECTIVE SECURITIES REGULATION7. Derivatives Market Intermediaries Registered with the CFTC MAIN 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 PrinciplesThis 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 derivatives markets. Postcrisis, the legal mandates of the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) have significantly expanded. The level of funding of both the SEC and CFTC is a key challenge affecting their ability to deliver on their mandates in a wayIMF country report ;Number 15/91.SecuritiesUnited StatesCapital marketUnited StatesFinancial institutionsState supervisionUnited StatesFinancial institutionsUnited StatesAccountingFinancial institutionsUnited StatesAuditingUnited StatesEconomic policyElectronic books.SecuritiesCapital marketFinancial institutionsState supervisionFinancial institutionsAccounting.Financial institutionsAuditing.332.152MiAaPQMiAaPQMiAaPQBOOK9910463485203321UNITED states486112UNINA