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Book Cover
Author International Monetary Fund. Monetary and Capital Markets Department.

Title United States
Published Washington : International Monetary Fund, 2015
Online access available from:
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Description 1 online resource (161 pages)
Series IMF Staff Country Reports ; v. Country Report No. 15/91
IMF Staff Country Reports
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
Summary 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 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
Notes Print version record
Subject International Monetary Fund -- United States.
Capital market -- United States.
Financial institutions -- State supervision -- United States.
Financial institutions -- United States -- Accounting.
Financial institutions -- United States -- Auditing.
Securities -- United States.
United States -- Economic policy.
Form Electronic book
ISBN 1475557469