United States: Financial Sector Assessment Program-Detailed Assessment of Implementation on the IOSCO Objectives and Principles of Securities Regulation
April 2, 2015
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Format: Chicago
Summary
Subject: Auditing, Credit ratings, Financial institutions, Financial regulation and supervision, Money, Public financial management (PFM), Securities, Securities regulation, Stocks
Keywords: Audit program, Auditing, Business model, Certificate of incorporation, CFTC regulation, CR, Credit ratings, Futures contract, Global, Insider trading, Investment strategy, ISCR, Net capital, Open-end fund, SEC rule, SEC staff, Secondary market, Securities, Securities regulation, Stocks
Publication Details
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Pages:
248
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Volume:
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DOI:
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Issue:
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Series:
Country Report No. 2015/091
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Stock No:
1USAEA2015003
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ISBN:
9781484312827
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ISSN:
1934-7685