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United States: Publication of Financial Sector Assessment Program Documentation: Detailed Assessment of Implementation of the IOSCO Objectives and Principles of Securities Regulation
Author:
International Monetary Fund
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Series:
IMF Staff Country Reports
Volume/Issue:
Volume 2010: Issue 125
Language:
English
Publication Date:
14 May 2010
DOI:
https://doi.org/10.5089/9781455206667.002
ISBN:
9781455206667
ISSN:
1934-7685
Pages:
108
Keywords:
ISCR; CR; CFTC regulation; insider dealing; SEC staff; material information; net capital; insider trading; beneficial owner; Securities; Futures; Securities regulation; Futures markets; Securities markets; Global
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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.
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Cover IMF Staff Country Reports
IMF Staff Country Reports
ISSN:
1934-7685
Publisher:
International Monetary Fund