United States: Publication of Financial Sector Assessment Program Documentation: Detailed Assessment of Implementation of the IOSCO Objectives and Principles of Securities Regulation
May 14, 2010
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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.
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
Pages:
108
Volume:
2010
DOI:
Issue:
125
Series:
Country Report No. 2010/125
Stock No:
1USAEA2010007
ISBN:
9781455206667
ISSN:
1934-7685
