LEADER 03889nam 2200721 450 001 9910463485203321 005 20200520144314.0 010 $a1-4755-5800-7 010 $a1-4755-5746-9 035 $a(CKB)2670000000615442 035 $a(EBL)2040172 035 $a(SSID)ssj0001541619 035 $a(PQKBManifestationID)11862927 035 $a(PQKBTitleCode)TC0001541619 035 $a(PQKBWorkID)11536931 035 $a(PQKB)10835016 035 $a(MiAaPQ)EBC2040150 035 $a(MiAaPQ)EBC2040172 035 $a(Au-PeEL)EBL2040150 035 $a(CaPaEBR)ebr11052018 035 $a(OCoLC)908671324 035 $a(Au-PeEL)EBL2040172 035 $a(CaONFJC)MIL779871 035 $a(OCoLC)908671297 035 $a(EXLCZ)992670000000615442 100 $a20150514h20152015 uy 0 101 0 $aeng 135 $aurcnu|||||||| 181 $ctxt 182 $cc 183 $acr 200 10$aUnited States $eFinancial Sector Assessment Program-detailed assessment of implementation on the IOSCO objectives and principles of securities regulation /$fInternational Monetary Fund 210 1$aWashington, District of Columbia :$cInternational Monetary Fund,$d2015. 210 4$dİ2015 215 $a1 online resource (249 p.) 225 1 $aIMF Country Report ;$vNumber 15/91 300 $aDescription based upon print version of record. 311 $a1-4843-1282-1 311 $a1-4755-4624-6 327 $aCover; 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 REGULATION 327 $a7. 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 Principles 330 $aThis paper discusses key findings of the Detailed Assessment of Implementation of the IOSCO (International Organization of Securities Commissions) Objectives and Principles of Securities Regulation on the United States. The United States has large, well-developed, and complex securities and derivatives markets. Postcrisis, the legal mandates of the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) have significantly expanded. The level of funding of both the SEC and CFTC is a key challenge affecting their ability to deliver on their mandates in a way 410 0$aIMF country report ;$vNumber 15/91. 606 $aSecurities$zUnited States 606 $aCapital market$zUnited States 606 $aFinancial institutions$xState supervision$zUnited States 606 $aFinancial institutions$zUnited States$xAccounting 606 $aFinancial institutions$zUnited States$xAuditing 607 $aUnited States$xEconomic policy 608 $aElectronic books. 615 0$aSecurities 615 0$aCapital market 615 0$aFinancial institutions$xState supervision 615 0$aFinancial institutions$xAccounting. 615 0$aFinancial institutions$xAuditing. 676 $a332.152 801 0$bMiAaPQ 801 1$bMiAaPQ 801 2$bMiAaPQ 906 $aBOOK 912 $a9910463485203321 996 $aUNITED states$9486112 997 $aUNINA