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 ?
The taxpayer's second argument was that the IRS should not have applied the regulations to his transaction.
The federal government's ability to regulate within an area is significant because federal regulation means that a single, nationwide scheme may be in effect, rather than potentially dozens of conflicting or overlapping state schemes.
Based on my research of state regulations over the past year, there are several key issues regulators will be facing when they either revise existing regulations or adopt new ones.
The new regulations require that all housing developments within two square miles of a light-rail station contain at least 12 units per acre - roughly double what was allowed under previous zoning laws.
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.
Proposed regulations implementing Stark I were published on March 11, 1992.
Disabling the full body of federal regulations was a big job.
As EPA regulations develop, changes often occur involving individual wastes that influence disposal decisions, hence, the importance of reviewing regulation preambles that can contain important background.
The final regulations provide that, for an exchange subject to Sec.
In addition, the proposed regulations adopt a direct benefit test that will require taxpayers to determine at the inception of any service-offering component the precise identity of the affiliates that will consume that component.
In 1985, the private sector took a big step toward better self-regulation through the formation of the National Commission on Fraudulent Financial Reporting, the "Treadway Commission." The commission's organizer, the Committee of Sponsoring Organizations (COSO), made up of five major professional organizations--Financial Executives International, The Institute of Internal Auditors, AICPA, National Association of Accountants (now the Institute of Management Accountants) and American Accounting Association--set benchmarks for internal controls, de facto standards used to comply with SEC regulations and, later, the Sarbanes-Oxley Act of 2002.

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