Regulations


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Regulations

Rules specifying the appropriate behavior of agencies, organizations or individuals in the securities industry.

Regulation

The set of rules and legislation governing certain actions. For example, the U.S. Tax Code and the rules the IRS publishes regulate federal taxation in the United States. In securities, regulations often require companies to disclose their actions to see to it that as much information as possible is publicly available. Other regulations govern business practices; for example they may set minimum or maximum wages and salaries, prohibit discrimination on certain grounds, and/or ban certain policies or practices deemed unfair for consumers or competitors. While nearly everyone agrees that some regulations are necessary, there is significant disagreement as to how many and what kind. Proponents of more regulation state that it ensures a fair market place and sustainable growth, while critics argue that many regulations do more harm than good.

Regulations

The IRS Commissioner publishes his interpretation of the tax Code in the form of regulations. They do not have the force and effect of law except in those cases in which the law on a particular subject calls for rules on that subject to be expounded through regulations.
References in periodicals archive ?
Not extended to other entities: Treasury and the IRS requested comments on whether the proposed regulations should extend to the Regs.
By pooling the foreign currency gains and losses of all assets together with earnings, in the equity pool, the 1991 proposed regulations effectively required recognition of currency gain or loss on all the assets of the QBU, including nonfinancial assets.
Similar to sports league standings, league tables could provide a simple way to compare regulations, even if they cover diverse topics.
The need for more uniform regulation became clearer with time, but despite 134 years of effort through the National Association of Insurance Commissioners, regulators have yet to put the goal within reach.
To help California's saltwater anglers keep up with the latest sportfishing regulations, DFG also is expanding its automated telephone information system in January.
Before implementation, it is expected that institutions using Framework-based regulations and guidance will first be subject to a year of parallel running; for example, application of the advanced approaches in tandem with the current risk-based capital regime, beginning in January 2007.
The taxpayer's second argument was that the IRS should not have applied the regulations to his transaction.
So far as a first reading is concerned, most of the mundane governance - from tax regulation to recordkeeping to criminal statutes - is done by virtue of statutes or administrative rules, with little influence from the Constitution itself.
Even as states are working to sort out their regulations, federal attention is now turning toward the industry in earnest.
In the case of a lease, the attachment must be signed by the lessor, the lessee and any agents, and must include a lead warning statement mandated by the regulations; the same information on known lead-based paint and lead-based paint hazards which is required in the case of sales; a statement by the lessee acknowledging receipt of the above information and the required pamphlet; and a statement by any involved agent that the agent has informed the lessor of the lessor's obligations and that the agent is aware of the agent's duty to ensure compliance with the regulations.

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