United States : Financial Sector Assessment Program: detailed assessment of implementation on the IOSCO objectives and principles of securities regulation
Cover; CONTENTS; GLOSSARY; A; B; C; D; E; F; G; H; I; J; L; M; N; O; P; R; S; T; U; V; X; 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
7. Derivatives Market Intermediaries Registered with the CFTCMAIN 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
Summary
The United States has large, well-developed and complex securities and derivatives markets. These provide widespread benefits not only to the U.S. economy, but globally. The crisis and recent high profile failures have provided important lessons that have significantly impacted the regulation and supervision of these markets
Notes
"Prepared by Monetary and Capital Markets Department"--Page 2 of pdf
"April 2015."
"March 2015"--Page 2 of pdf
Bibliography
Includes bibliographical references
Notes
English
Online resource; title from pdf title page (IMF Web site, viewed April 8, 2015)
