LEADER 06478oam 22013814 450 001 9910788286603321 005 20230807210404.0 010 $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(IMF)1USAEE2015003 035 $a(IMF)1USAEA2015003 035 $a(EXLCZ)992670000000615442 100 $a20020129d2015 uf 0 101 0 $aeng 135 $aurcnu|||||||| 181 $ctxt 182 $cc 183 $acr 200 10$aUnited States : $eFinancial Sector Assessment Program-Detailed Assessment of Implementation on the IOSCO Objectives and Principles of Securities Regulation 210 1$aWashington, D.C. :$cInternational Monetary Fund,$d2015. 215 $a1 online resource (249 p.) 225 1 $aIMF Staff Country Reports 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 3 $aThis paper discusses key findings of the Detailed Assessment of Implementation of the IOSCO (International Organization of Securities Commissions) Objectives and Principles of Securities Regulation on the United States. The United States has large, well-developed, and complex securities and derivatives markets. Postcrisis, the legal mandates of the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) have significantly expanded. The level of funding of both the SEC and CFTC is a key challenge affecting their ability to deliver on their mandates in a way that provides confidence to markets and investors. The fragmented structure of equity markets remains a key challenge for the SEC. 410 0$aIMF Staff Country Reports; Country Report ;$vNo. 2015/091 606 $aSecurities$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 606 $aInvestments: General$2imf 606 $aInvestments: Stocks$2imf 606 $aMoney and Monetary Policy$2imf 606 $aPublic Finance$2imf 606 $aBusiness and Financial$2imf 606 $aGeneral Financial Markets: General (includes Measurement and Data)$2imf 606 $aMonetary Policy, Central Banking, and the Supply of Money and Credit: General$2imf 606 $aAuditing$2imf 606 $aPension Funds$2imf 606 $aNon-bank Financial Institutions$2imf 606 $aFinancial Instruments$2imf 606 $aInstitutional Investors$2imf 606 $aCorporation and Securities Law$2imf 606 $aInvestment & securities$2imf 606 $aMonetary economics$2imf 606 $aManagement accounting & bookkeeping$2imf 606 $aFinancial services law & regulation$2imf 606 $aSecurities$2imf 606 $aCredit ratings$2imf 606 $aStocks$2imf 606 $aSecurities regulation$2imf 606 $aFinancial institutions$2imf 606 $aMoney$2imf 606 $aPublic financial management (PFM)$2imf 606 $aFinancial regulation and supervision$2imf 606 $aFinancial instruments$2imf 606 $aNonbank financial institutions$2imf 606 $aLaw and legislation$2imf 607 $aUnited States$xEconomic policy 607 $aUnited States$2imf 615 0$aSecurities 615 0$aCapital market 615 0$aFinancial institutions$xState supervision 615 0$aFinancial institutions$xAccounting. 615 0$aFinancial institutions$xAuditing. 615 7$aInvestments: General 615 7$aInvestments: Stocks 615 7$aMoney and Monetary Policy 615 7$aPublic Finance 615 7$aBusiness and Financial 615 7$aGeneral Financial Markets: General (includes Measurement and Data) 615 7$aMonetary Policy, Central Banking, and the Supply of Money and Credit: General 615 7$aAuditing 615 7$aPension Funds 615 7$aNon-bank Financial Institutions 615 7$aFinancial Instruments 615 7$aInstitutional Investors 615 7$aCorporation and Securities Law 615 7$aInvestment & securities 615 7$aMonetary economics 615 7$aManagement accounting & bookkeeping 615 7$aFinancial services law & regulation 615 7$aSecurities 615 7$aCredit ratings 615 7$aStocks 615 7$aSecurities regulation 615 7$aFinancial institutions 615 7$aMoney 615 7$aPublic financial management (PFM) 615 7$aFinancial regulation and supervision 615 7$aFinancial instruments 615 7$aNonbank financial institutions 615 7$aLaw and legislation 676 $a332.152 801 0$bDcWaIMF 906 $aBOOK 912 $a9910788286603321 996 $aUNITED states$9486112 997 $aUNINA