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.
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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.
Final regs. on treatment of disregarded entities under Sec. 752
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.
The new proposed section 987 regulations
The preamble to these regulations lists items that are considered back-office expenses, such as payroll, accounts payable, tax preparation and similar items.
IRS takes aim at service issues in transfer pricing: two important legal pronouncements that will affect transfer pricing compliance and planning for multinational corporations have come out recently. Two attorneys discuss some of the general highlights and the potential impact
Similar to sports league standings, league tables could provide a simple way to compare regulations, even if they cover diverse topics.
The regulation equation: factoring in the price of health
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.
Protecting the pledge: the quest for cohesive U.S. insurance regulation spans three centuries, and an end to the journey still isn't assured
To help California's saltwater anglers keep up with the latest sportfishing regulations, DFG also is expanding its automated telephone information system in January.
NEW GROUNDFISH REGULATIONS
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.
Publication of Revised Capital Framework and U.S. implementation plans
The final regulations changed the definition of a QRT.
Trust treatment: final regs issued on election to treat revocable trusts as part of estate
The taxpayer's second argument was that the IRS should not have applied the regulations to his transaction.
Self-rent and passive losses
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.
Commercial regulation in the United States: a constitutional perspective
Even as states are working to sort out their regulations, federal attention is now turning toward the industry in earnest.
Assisted living regulations come of age
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.
New lead regulations to take effect this fall

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