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Dean Baker

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A Wall Street Gambling Tax: The Remedy to Inequality

Posted: 07/02/2012 1:25 pm

As the presidential election builds up steam, the Washington elites in both parties are actively scheming to find ways to cut Social Security and Medicare benefits for retired workers. The media have widely reported on efforts to slip through a version of the deficit reduction plan developed by Morgan Stanley director Erskine Bowles and former Senator Alan Simpson. Since the vast majority of voters across the political spectrum reject cuts to these programs, the Washington insiders hope to spring this one on us after the election, when the public will have no say.

That is the sort of anti-democratic behavior we expect from elites who naturally want to protect their own interests. Of course, the rest of us are more concerned about the well-being of the country as a whole rather than preserving the wealth of the richest 1 percent.

For the 99 percent there are much better ways of dealing with whatever deficit problems may arise down the road. Most obviously, insofar as we need more revenue we can look to tax the sort of financial speculation through which the Wall Street gang makes its fortunes. A very small tax on trades of stocks, options, credit default swaps and other derivative instruments could raise a vast amount of money.

The Joint Tax Committee of Congress estimated that a tax of just 0.03 percent on each trade, as proposed by Senator Tom Harkin and Representative Peter DeFazio, would raise more than $350 billion over the first nine years that it is in place. This is real money. It is an order of magnitude larger than the measures that have been suggested to go after the wealthy, such as President Obama's bank tax or most versions of the Buffet Rule.

A somewhat higher rate, such as the 0.5 percent rate charged in the United Kingdom, could raise considerably more revenue. The U.K. raises the equivalent (relative to the size of its economy) of $30-$40 billion a year just by taxing stock trades. Estimates for the U.S. suggest that a broadly based tax that is scaled appropriately for the asset traded could raise more than $1.5 trillion in the United States over the course of a decade.

The great thing about this sort of tax is that it would be born almost exclusively by the Wall Street crew. There is considerable research that shows that most people will respond to the increase in trading costs by simply trading less. For example, if you have a 401(k) where 40 percent of the stock turns over every year, if the transactions costs double due to the tax, then most people would respond by simply cutting their trading in half to 20 percent.

The net effect for the 401(k) holder is a wash. She pays twice as much per trade, but does half the trading, meaning that total trading costs are unchanged.

The people for whom it is not a wash is the Wall Street crew. If trading is cut in half, then their revenue is cut in half, even assuming that 100 percent of the trading costs are passed on to investors. This explains the reason that the elites in Washington, like Morgan Stanley director Erskine Bowles, are focused on cutting Social Security and Medicare rather than imposing a financial speculation tax.

A financial transactions tax is more than just an issue of fairness. It is also likely to boost economic growth by eliminating waste in the financial sector. A recent study from the Bank of International Settlements (BIS) found that a large financial sector acted as a drag on growth. It also found the industries that were hardest hit by an overgrown financial sector were those dependent on external financing and industries that had large amounts of research and development spending.

This pattern can be easily explained. The industries that are most dependent on external financing are the ones with new firms that need outside capital to support their expansion. Older more established industries rely primarily on their profits to finance investment. The BIS study essentially found that speculation in the financial sector was pulling capital away from these young and rapidly growing firms.

The slower growth in R&D intensive industries can be explained by the fact that a bloated financial sector is pulling people with advanced skills away from industries like computers, aerospace, and other technical fields. If mathematically inclined students can earn tens of millions of dollars on Wall Street then a six-figure salary developing life-saving drugs may not seem very attractive.

In short, taxing Wall Street speculation is a great way to raise whatever money might be needed to meet deficit targets. However, because the folks in Washington are so dependent on Wall Street money, it is more likely that they will be looking to target the benefits of people struggling to get by on their $1,100 a month Social Security checks.

 

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As the presidential election builds up steam, the Washington elites in both parties are actively scheming to find ways to cut Social Security and Medicare benefits for retired workers. The media have ...
As the presidential election builds up steam, the Washington elites in both parties are actively scheming to find ways to cut Social Security and Medicare benefits for retired workers. The media have ...
 
 
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This user has chosen to opt out of the Badges program
06:42 PM on 07/09/2012
While Mr. Baker at least tips his hat to the common liberal error that taxes raise revenue without changing the taxed behavior by noting that the 401(k) holder "pays twice as much per trade, but does half the trading," but doesn't seem to think this will extend to the Wall Street speculators. Of course the speculators will change their investing patterns to minimize the potential revenue gains from a financial transactions tax. This in itself is good. The policy challenge is to structure such a tax to discourage speculative investment, in favor of investments that actually produce long term economic benefits.
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Romeover
Civilization is for weaklings.
09:57 PM on 07/03/2012
We, as a nation, have to stop believing that "risk-taking" is an unalloyed good. "Entrepreneurship" is hailed as the economic savior of the moment, when the reality is that 99% of the economy is just plain, old, boring, work.

Or, as T.A. Edison said, "Genius is one percent inspiration, and 99% perspiration."
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ennis438
08:17 PM on 07/03/2012
Great idea. Let's make the unpatriotic, money loving fatcats pay instead of making Medicare and Social Security pay for worthless wars, tax cuts for the Koch's and corporate welfare.
12:53 PM on 07/03/2012
Does this mean that The Law Of Diminishing Returns applies to the financial sector?

Whodathunkit?
10:43 AM on 07/03/2012
The left is actually 100% right on something, but of course they have to frame it in the absolutely worst way. This is not about stealing from the rich, which seems to be OK in some people's heads.

It is about a fair tax system and not so much to start another expansive government program that we cannot afford but to reduce the amount of wealth stolen from the middle class via large budget deficits and devaluation of the dollar.

People that run businesses have to pay a lot of federal and state sales taxes from a gas station, to a convenience store, to a hotel owner who has to charge outrageous amounts of sales taxes, to somebody just wanting to buy a shirt. All of this is a tremendous amount, yet day traders see on a computer all day and do their business tax free.

Well every other business has to pay taxes, and unlike yours, we don't require a monstrocity and expensive institution to spend taxpayer dollars in watching over the likes of you.

So yes, damn it 0.50% sounds pretty good IF IT IS USED TO REDUCE THE DEFICIT as opposed to wasting it.

The financial services industry should not get special treatment over other industries. THAT IS NOT CAPITALISM.
12:03 PM on 07/03/2012
"So yes, damn it 0.50% sounds pretty good IF IT IS USED TO REDUCE THE DEFICIT as opposed to wasting it."

.50% sounds like a pretty good reason for traders to direct their investing to stock exchanges that don't have a .50% tax. Hong Kong, Singapore, and other places are ready to roll out the red carpet at a moment's notice.
12:43 PM on 07/03/2012
Let them crash their economies then. Let their citizens make all the sacrifices to subsidize their gambling casinos.
05:30 PM on 07/03/2012
That is the flawed argument that is always used. Frankly trading derivatives in the US or any where else does little good for the US general public. Let them go to their unregulated environment. Most smart investors will prefer regulated markets and pay the measly one half of a percent tax.

Also it will be that much less that needs to be regulated on the taxpayers dime with little to no economic benefit for themselves.

And Hong Kong is owed by China. They are already mucking that situation in a hurry. It is only a matter of time.

Your argument is flawed simply because you have no argument for what I have presented. The US government favors some industries over another. Subsidizing the financial industry with oversight and not paying for that oversight is subsidizing.
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Ally Solver
Problem Solver Extraordinaire
12:22 PM on 07/03/2012
A much better idea would be to eliminate many sales and excise taxes. They provide no benefits to society or the people. They just fund government waste.
02:11 PM on 07/03/2012
Government waste, government waste... blah, blah, blah. SIR, IT IS THE PRIVATE SECTOR, SPECIFICALLY THESE BANKS, THAT PUT US IN THE SITUATION WE ARE IN. NOT THE GOVERNMENT... DID YOU HEAR THIS??? NOT THE GOVERNMENT.
05:40 PM on 07/03/2012
Agreed
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HUFFPOST SUPER USER
pixeloid
Reality has a liberal bias.
09:20 AM on 07/03/2012
Not nearly enough. A full 1% transaction tax should be enacted. That would put an end to the "robotrading" that serves no purpose except to allow a few technically adept traders to game the system. It would also put a damper on a lot of useless, extremely short term trading. The purpose of the stock market is for companies to raise capital for expansion and development. It was never meant to be the casino it's become. I'd also like to see a federal sales tax on all goods except food, clothing, and medicine. 3% would probably be reasonable, since many states already have a sales tax.
09:57 AM on 07/03/2012
The proposed amount in the article would be enough to stop this also. They only make pennies per trade. They do it millions of times per day, so they would most likely lose money with even a small tax.
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11:25 AM on 07/03/2012
No need for a financial transaction tax. Merely raise the top marginal rate on Capital Gains, to 45% lets say, for any asset held less than 30 days. Right now we have long term (over a year) and short term (under a year). We should encourage investment in the markets, and discourage speculation (i.e. just playing in it to turn a buck).

As to your taxes, if I were King for a day.....

I would actually charge a higher sales tax, put the money in a Trust Fund. Transfer Medicare and its Trust Fund to this new fund, pay for Medicare out of it. Take the 2.9% payroll tax for Medicare and put it into the SS Trust Fund until the trust Fund is fully funded out 75 years. Then get rid of that tax, thereby decreasing the cost of labor. You could even goes as far as paying for Medicaid out of this new fund, merely adjust the rate. Also transfer disability to this fund and pay for it through sales taxes.
02:42 PM on 07/03/2012
Too hard to keep track of, and too easy to game. A simple transaction tax has the advantage of being simple, duh.
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Soulsurfer
Solar Electrician,Longtime Surfin'Fool
09:19 AM on 07/03/2012
This is an obvious fix for the revenue shortfalls we're seeing in government, and we definitely need to pull more of the brightest people out of banking and financials to help move our industries along. The financial industry as it stands does nothing for the economy as a whole, just makes money for the 'players'. Good luck getting this passed though, dems and repubs alike are owned by Wall St.
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Ally Solver
Problem Solver Extraordinaire
12:26 PM on 07/03/2012
But only if they have no ideology. Logic and rational thinking only. A new political party is the answer.

See http://newpoliticalparty.wordpress.com/

The facts no one wants to read.
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hallaquila
BA, Virginia Military Institute; MSJ, Ohio U.
09:07 AM on 07/03/2012
The greed of Wall St. knows no bounds. It is the Republicans who are fighting on behalf of the rich not the poor. Notice that it is Democrats who are pushing for these modest taxes on trades, who are putting restrictions and oversight on Wall St. traders who ran amuck thanks to the GOP Phil Gramm's legislation that offered a blanket exemption from government regulations for the bank-concocted "securitization" of home mortgages into the collaterialized debt obligations and credit default swaps that are at the heart of the US and global economic crisis that took $15 trillion from Americans' household wealth or 39% of their net worth. Notice that the GOP initially blamed hapless homeowners, particularly minority homeowners. The "too big to fail" banksters were also "too big to jail" as the Wall St. rich stole more from Americans than all the thieves and robbers combined that ever lived, yet, none have gone to jail. Notice that the GOP defended the obscene salaries and bonuses of the bailed-out banksters, yet blamed budget deficits on working class unions whose long-held, negotiated contracts were negated by GOP-dominated state legislatures.
01:37 PM on 07/03/2012
BOTH parties are fighting on behalf of the rich, they pay them to, that's why they always get their way. If you think B.O. and Timmy Geitner would be in favor of this excellent idea then you have divided and conquered yourself into an easily manageable pawn in a two party system
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Craig Koebelin
Gut feelings are usually gas
09:05 AM on 07/03/2012
They should put up signs for 1-800-GAMBLER on the exchange floors.
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MRstoner2udude
I'm a human being? What about you?
09:00 AM on 07/03/2012
Stop throwing money at the DoD, they waste so much. Invest in education and our economy will be robust.
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JimMcDermottJr
rules are for the obedience of fools, and the guid
08:48 AM on 07/03/2012
We need to freeze social security, defense, and medicare AND raise taxes on everyone via a national sales tax.
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ErnestineBass
No longer a cog in The Machine.
09:53 AM on 07/03/2012
In other words, punish everyone BUT the Wall Street gamblers, right?
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JimMcDermottJr
rules are for the obedience of fools, and the guid
10:31 AM on 07/03/2012
Not punishing anyone, just raising money and freezing entitlements. Judging by your name you must be bummed out at Andy Griffith news. I certainly am. have a great day.
10:00 AM on 07/03/2012
Do you know who is most affected by a sales tax. The people who spend all their money each month. Rich people only spend a small amount of their money on things that would be taxed and either invest or save the rest. That is why this wall street tax makes sense. It changes behavior from short term gambling to longer term investing.
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JimMcDermottJr
rules are for the obedience of fools, and the guid
10:37 AM on 07/03/2012
Half of this country pays no federal income tax. Everyone needs to participate in lowering the debt. You want to keep attacking the rich, they will leave.
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11:31 AM on 07/03/2012
Modern Industrialized countries charge hefty sales taxes in order to provide hefty social services. Every European country has one, and some are 25%. Since its a consumption tax, the goods they make that are exported actually escape the largest part of their taxation scheme.

Why do foreign products seem so much cheaper for what you get? We tax products as they leave the factory floor, they tax products as they enter someones home. So a BMW made in Germany for instance, is not taxed by the German Federal Governmenet OR by the US Federal Government (but it kept a coupole Germans employed). But a Jeep Cherokee made in the US (fairly popular in Europe) is taxed both by the US Federal Government (Capital and payroll taxes) and by the German Federal Government (Value Added Tax).
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08:47 AM on 07/03/2012
Baker forgot to mention the Mainstreet and Homestreet tax that's in the Dem plan as well. Working middle class taxpayers will get the lions share of the wealth redistribution cost.
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jabbaciv
So it goes.
08:32 AM on 07/03/2012
The wealthy won't be treated fairly until we take away the inordinate amount of power they have over their fellow men.
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den1953
The National Inquire of Politics the GOP!
08:22 AM on 07/03/2012
The combination of good education and Corporate America that ties in with after college graduation some tuition could be promised if that student that have the skills corporate America is looking for to fill future jobs would do some good toward filling those jobs that need skilled workers. The whole tax structure needs a overhaul, everyone should pay taxes whether it is structured or a flat tax but the system we have know isn't working. This all will never be accomplished if the morons in Washington can't get their act together and work for the people, so that means corporate America needs to take a hike and stop corporate welfare from the middle class and poor, they need to go do what they do best create jobs and run businesses to make money for there shareholders. Finally curb greed and the desire to outdo the competition and compete for the good of the country not undermine the government to screw the people!
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Awake-and-Sing
named after a great play written by Clifford Odets
08:05 AM on 07/03/2012
I wholly endorse your proposal.

Since Wall Street is going all in for the Republicans this year, the Democrats should not hesitate to put it in their platform.

People will sometimes support taxes if they know where the money goes. Have half the revenue from this tax go into restoring our crumbling infrastructure and the other half to directly pay off our debt.

The stakes in this election could not be clearer:

Do you want to tame the casino capitalists it do you want the Ryan/Romney/Republican plan to dismantle Social Security and Medicare .