United States: Publication of Financial Sector Assessment Program Documentation: Detailed Assessment of Implementation of the IOSCO Objectives and Principles of Securities Regulation
IMF Staff Country Reports, May 14, 2010
Source details
- Canonical URL
- United States: Publication of Financial Sector Assessment Program Documentation: Detailed Assessment of Implementation of the IOSCO Objectives and Principles of Securities Regulation
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Bibliographic details
- Published: May 14, 2010
- Series: IMF Staff Country Reports
- DOI: https://doi.org/10.5089/9781455206667.002
Overview
- This paper presents Detailed Assessment of the United States’s implementation of the International Organization of Securities Commissions’ Objectives and Principles of Securities Regulation.
- The general preconditions for effective securities regulation in the United States are present.
- The legal and accounting system supports the implementation of requirements and effective regulation of market participants.
- The legislation regarding bankruptcy, insolvency, and winding up in the jurisdiction and the professionals associated with those matters are sophisticated.
- Publication date: May 14, 2010.
Key findings and assessments
- General preconditions for effective securities regulation in the United States are present.
- The legal and accounting system supports:
- implementation of requirements, and
- effective regulation of market participants.
- Legislation regarding:
- bankruptcy,
- insolvency, and
- winding up
in the jurisdiction and the professionals associated with those matters are described as sophisticated.
Subjects and keywords
- Subject: Financial institutions; Financial markets; Financial regulation and supervision; Futures; Futures markets; Securities; Securities markets; Securities regulation
- Keywords: beneficial owner; CFTC regulation; CR; Futures; Futures markets; Global; insider dealing; insider trading; ISCR; material information; net capital; SEC staff; Securities; Securities markets; Securities regulation