United States.
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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| Main Author: | |
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| Format: | Electronic eBook |
| Language: | English |
| Published: |
Washington :
International Monetary Fund,
2015.
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| Subjects: | |
| Online Access: |
Full text (MFA users only) |
| ISBN: | 9781475557466 1475557469 |
| Local Note: | ProQuest Ebook Central |
Table of Contents:
- 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.