06478oam 22013814 450 991078828660332120230807210404.01-4755-5800-71-4755-5746-9(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(IMF)1USAEE2015003(IMF)1USAEA2015003(EXLCZ)99267000000061544220020129d2015 uf 0engurcnu||||||||txtccrUnited States : Financial Sector Assessment Program-Detailed Assessment of Implementation on the IOSCO Objectives and Principles of Securities RegulationWashington, D.C. :International Monetary Fund,2015.1 online resource (249 p.)IMF Staff Country ReportsDescription 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 way that provides confidence to markets and investors. The fragmented structure of equity markets remains a key challenge for the SEC.IMF Staff Country Reports; Country Report ;No. 2015/091SecuritiesUnited StatesCapital marketUnited StatesFinancial institutionsState supervisionUnited StatesFinancial institutionsUnited StatesAccountingFinancial institutionsUnited StatesAuditingInvestments: GeneralimfInvestments: StocksimfMoney and Monetary PolicyimfPublic FinanceimfBusiness and FinancialimfGeneral Financial Markets: General (includes Measurement and Data)imfMonetary Policy, Central Banking, and the Supply of Money and Credit: GeneralimfAuditingimfPension FundsimfNon-bank Financial InstitutionsimfFinancial InstrumentsimfInstitutional InvestorsimfCorporation and Securities LawimfInvestment & securitiesimfMonetary economicsimfManagement accounting & bookkeepingimfFinancial services law & regulationimfSecuritiesimfCredit ratingsimfStocksimfSecurities regulationimfFinancial institutionsimfMoneyimfPublic financial management (PFM)imfFinancial regulation and supervisionimfFinancial instrumentsimfNonbank financial institutionsimfLaw and legislationimfUnited StatesEconomic policyUnited StatesimfSecuritiesCapital marketFinancial institutionsState supervisionFinancial institutionsAccounting.Financial institutionsAuditing.Investments: GeneralInvestments: StocksMoney and Monetary PolicyPublic FinanceBusiness and FinancialGeneral Financial Markets: General (includes Measurement and Data)Monetary Policy, Central Banking, and the Supply of Money and Credit: GeneralAuditingPension FundsNon-bank Financial InstitutionsFinancial InstrumentsInstitutional InvestorsCorporation and Securities LawInvestment & securitiesMonetary economicsManagement accounting & bookkeepingFinancial services law & regulationSecuritiesCredit ratingsStocksSecurities regulationFinancial institutionsMoneyPublic financial management (PFM)Financial regulation and supervisionFinancial instrumentsNonbank financial institutionsLaw and legislation332.152DcWaIMFBOOK9910788286603321UNITED states486112UNINA