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Richard (RJ) Eskow

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Poor Standards: 4 Steps to Ending the Rating "Agency" Racket

Posted: 08/08/11 02:33 PM ET

There's been a great deal of complaining today about Standard & Poor's downgrade of the U.S. government's creditworthiness, but the time for talking about credit rating agencies is long past. There are four steps that can be taken now to end the rating corporations' reign of error.

These "agencies" aren't government entities, but they derive great power from authority conferred by the government. Yet banks and other institutions are allowed to hire the "agency" that rates them.

Picture a situation where the IRS has been "privatized," and taxpayers are allowed to hire the accountants that will review their payments for accuracy. (I know -- I shouldn't give them ideas.) Everybody would hire the accountant that says they're due a huge refund, and pretty soon the entire system would collapse. That's not too different from the way the rating game works.

The moment for change was in 2008, when we learned of their key role the global financial crisis. But it's not too late to act now. Here's some background and a clear plan for ending the rating racket once and for all.

Bad Sheriffs

Is it fair to call them a "racket"? Merriam-Webster's definition of a "racket' includes "a usually illegitimate scheme made possible by bribery or intimidation," and "an easy and lucrative means of livelihood." Running a rating agency is certainly the latter. These highly profitable companies enjoy a near-monopoly status that's made possible only because the U.S. taxpayer, through its elected representatives, has given them enormous (and unearned power).

These for-profit companies received their biggest gift in 1975, when the SEC gave three of them -- Moody's, Standard & Poor's (S&P), and Fitch's -- the new designation of "nationally recognized statistical research organization," or "NRSRO." Since then, they've been able to use their NRSRO status in much the same way a drunken sheriff uses his badge in a spaghetti western -- to bully, intimidate, and cajole themselves into ever-greater positions of power and wealth.

They've been lecturing the U.S. government in a lordly manner for more than a year about the need to make drastic needs to social programs. But ironically (or not), much of the government's current financial problems -- and most of the public's problems -- are due to a financial crisis they helped make possible through incompetence and moral corruption.

To fully understand the damage these bad sheriffs caused, it's important to understand three things:

1) Federal, state, and local governments, as well as pension funds and other investors, relied on their "AAA" ratings to protect their savings.
2) They traded those AAA ratings to paying customers in return for more business.
3) 90% of the mortgage securities they rated "AAA" in 2007 were later downgraded to junk-bond status.

Oh, and a couple more things:

4) Nothing has changed. Key rating provisions of the Dodd/Frank bill have been delayed and deferred. Why?
5) Because lobbyists for the big three rating "agencies" have spent $1.76 million since January, mostly directed at Congress and regulators.

Poor Standards

Here's what can be found in hundreds of pages of internal "agency" documents released by the Senate last year:

When employees of Moody's were asked what four their highest job goals were, the top three answers were 1) generating more revenue, 2) increasing market share, and 3) good relationships with their customers. Performing high-quality analytical work made the lis ... in fourth place. Consultants who performed the survey wrote, "When asked about how business objectives were translated into day-to-day work, most agreed that writing deals was paramount, while writing research and developing new products and services received less emphasis. "

S&P, which has just "downgraded" the United States, was an active participant in the pay-for-play game. When a customer complained about not getting the rating he wanted he was given a better one, but an internal email read: "I don't think this is enough to satisfy them. What's the next step?"

The customer got what he wanted.

Moral issues aside, these guys are lousy at their jobs. The Treasury Department found a $2 trillion error in S&P's calculations. Among people familiar with their work, this revelation surprised... well, nobody. What did S&P do with this information? They deleted the error from their report and wrote a different justification for the downgrade - one that relied on unmeasurable "political" considerations.

Did the customer get what he wanted once again?

S&P is very, very protective of its mathematical models. Every report on their website includes this warning: "No content (including ratings, credit-related analyses and data, model, software or other application or output therefrom) or any part thereof may be modified, reverse engineered, reproduced or distributed in any form by any means ..."

Relax, guys. Nobody's reverse-engineering your models -- except as comic-relief for overworked spreadsheet jockeys who have watched you manufacture your prefabricated conclusions for years.

Downgrade this!

S&P's agenda has appeared to be political for a long time, and it looks as if its retrofitting its "analysis" yet again to mirror the austerity economics goals of its paymasters.

Last October S&P said the outlook for the Federal government was 'stable' for the foreseeable future, although a Republican victory in the House was widely expected. This April they said the US government needed to address its deficit problem within two years.

Somebody must have repeated S&P's memorable words of yesteryear -- "I don't think this is enough to satisfy them" -- because then came the next step: Last month they said the government had to find $4 trillion in deficit reductions within 90 days. They had no explanation for their $4 trillion figure, which coincidentally matched the goal being pursued by Democratic and Republican negotiators at the time.

The government has just conclude a deal that provides $2.5 trillion in (very unwise and unfair) reductions. Buckle your seatbelts, numberphobes, because here comes the math: $2.5 trillion (in debt-deal cuts) plus $2 trillion (overstatement of deficit by S&P) = $4.5 trillion. (Hey, modeling is my life.) That's half a billion more than the number S&P wanted. They downgraded anyway.

As you marvel at my proficiency in simple arithmetic -- a skill apparently unreplicated at the rating "agencies" -- please note this warning: "No content in this blog post (ratings, credit-related analyses and data, model, software or other application or output therefrom) or any part thereof (Content) may be modified or reverse engineered in any form by any means ..."

That means you, S&P!

"A little less conversation, a little more action"

Tim Geithner's right to call these guys out for incompetence, but the Elvis lyric quoted above is as relevant today as it was in 2008. And so is the line that follows, politically speaking: "All this aggravation ain't satisfactioning me." Here are four steps that can be taken to end the agency racket right now:

  1. Strip Moody's and Standard & Poor's of their NRSRO status on the grounds of egregious professional errors and ethical lapses.
  2. Announce an SEC policy requiring any future NRSROs to be educational institutions or nonprofit agencies. Provide a proper time frame -- two years sounds right -- to get these agencies up and running, and provide them with logistical and financial support.
  3. Government law currently protects these "agencies" from being sued by defrauded investors. Lift that protection immediately -- and make sure that executives and officers are personally liable for fraudulent acts. (Nothing clarifies the mind like the risk of a lawsuit.)
  4. Eliminate "pay to play" immediately by borrowing an idea from the Franken Amendment. Here's how: Automatically assign an agency to conduct a review, rather than allowing the institutions being reviewed to hire one themselves.


This is bound to be a smart political move, since it will give those much-coveted independent voters what Elvis would call "A little more bite and a little less bark, a little less fight and a little more spark."

Oh, and it could save the economy, too. That has to be worth something too, even in this era of reality-free politics.

Richard (RJ) Eskow, a consultant and writer (and former insurance/finance executive), is a Senior Fellow with the Campaign for America's Future. This post was produced as part of the Curbing Wall Street project. He is also highly qualified to issue proclamations on matters of taste and style, according to himself. His most recent ruling is "Cool or Lame: In Re Van Halen."

He can be reached at "rjeskow@ourfuture.org."

 

Follow Richard (RJ) Eskow on Twitter: www.twitter.com/rjeskow

 
 
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LogicalMathMan
Math, Finance, English, Business Instructor
12:24 PM on 08/09/2011
Dismantle the 3 ratings agencies and have one non-partisan government body that rates all businesses. If the CBO can be non-partisan, I don't see why we cannot have an unbiased ratings agency.
tumorimmunologist
Hate is harder to cure than cancer
12:07 PM on 08/09/2011
As S&P knows, "It's good to be king." Everyone should forward this article to their political representatives and family. Your four points are sound and valid. Great Article.
11:50 AM on 08/09/2011
Of course S&P downgrading the US is a crock of political BS; they are shills for Wall Street and hardly even pretend to hide it anymore. Everything they are basing the downgrade on was there 3-4+ years ago and entirely handed to them by the CBO. We cut taxes dramatically which the CBO said would reduce revenues significantly. We then passed Medicare Part D and got into two wars of choice; all of which the CBO predicted would significantly increase expenses. I have to presume that S&P is familiar with what happens when you decrease revenues and increase expenses; especially when both are handed to you on a silver platter.

These grifters labeled Trillions in mortgage backed debt as investment grade for their co-conspirators in the biggest Ponzi scheme ever. The relationship between Enron and Anderson Consulting was laughingly insignificant relative to this. It is time to label these guys "enemy combatants" and deal with them appropriately...
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11:46 AM on 08/09/2011
We shouldn't even have ratings agencies at all, because investment managers should be doing their own due diligence (AND we need a regulatory apparatus robust enough to ensure that disclosures are complete enough and transparent enough to make it possible to do due diligence -- a difficult task, I concede).
11:36 AM on 08/09/2011
I voted Obama enthusiastically, but regretted it within weeks, when he said we should look forward, not backwards. Looking forwards makes for a great “sound bite”, but the refusal to go after the financial criminals (jail them and claw back the stolen loot) was wrong. It allows crooks to keep their power, money and influence.

People’s retirement took a hit while big money was “funneled” to the super-rich. Obama wanted it to carry on as if the crimes did not take place. His Justice department did virtually nothing regarding the huge past crimes (false wars and the financial crimes).

So what does Obama expect? When you let unsavory characters keep their position of influence, you end up dealing with unsavory characters. When you allow corrupt organizations such as S&P to keep the billions they made selling their AAA rating to cover the garbage the banksters con job, they are going to do it again. When you see “no problem” nominating a tax cheat to be secretary of the treasury, you are going to deal with cheaters.
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shaunmarie
America is broken. Lets fix it.
10:52 AM on 08/09/2011
But if we were to try any of these common sense solutions, we would hear nothing but a gigantic chorus, screaming "Socialism! Communism! Big Government Tax and Spend!"

The foxes now own the henhouse. And there ain't nothing we can do about it.
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American In Chicago
03:58 PM on 08/09/2011
Hm. How does the farmer deal with foxes? Say we're the farmers.
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unionave
Old Codger
10:07 AM on 08/09/2011
More than a century ago it was said "Wall Street is where big fish eat little fish , and little fish have no business being there" . That still applies today . Rating agencies were invented by the big fish to make money off the little fish .

Rating agencies can cause the price of stocks to rise or fall just by word of mouth and the big fish make money going up or down .

There are hundreds of company stocks listed on the NY stock exchange but by 24/7 blanket advertizing of the value of 30 of those stocks Wall Street has people that frown on gambling playing in their casino games .
09:53 AM on 08/09/2011
Great post RJ; but in this far from perfect world where the moneyed interest rule and common sense and common interest are set aside as relics from another age, there's no chance in hell that the bought and paid for subsidiary of Corporate America, AKA the government of the United States, will enact even one of your recommendations.
Democrat in the South
Empathy, the most important word
09:17 AM on 08/09/2011
I don't know if there's any validity to this or not.

http://www.thomhartmann.com/blog/2011/08/mainstream-media-ignores-sp-attack-republicans
08:59 AM on 08/09/2011
Again, special interest keeps these three useless agencies alive. They missed the tech bubble and then really blew it on the mortgage melt down. They are full of conflict. Its like when one's wife asks if this dress makes her look fat, the husband knows the answer she wants.
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gretchenart
Fine Art Technology
10:33 AM on 08/09/2011
yes? You need to lose 2.5 trillion pounds?
gravityhunter
Lock, wave n pull
08:01 AM on 08/09/2011
The S&P downgrading is one of the best things to happen to this country......
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shaunmarie
America is broken. Lets fix it.
10:53 AM on 08/09/2011
Why?
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manface
prefers beer parties to tea parties
07:59 AM on 08/09/2011
I hope his ideas are immediately implemented, S+P should have been shut down for causing the 2008 meltdown. The author did not even mention that S+P is a subsidiary of McGraw Hill, who is very generous with donations for republicans. The fact that the other credit agencies did not act and a quick view of many other AAA countries with more debt per gdp than America makes this look very shady.
07:52 AM on 08/09/2011
If the private financial institutions were paying S & P to rate their speculative financial instruments, who pays S & P to rate our government and other countries in the world?
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shaunmarie
America is broken. Lets fix it.
10:54 AM on 08/09/2011
The same guys who are paying them to rate speculative financial instruments...
07:37 AM on 08/09/2011
Great article, with some very good ideas. It's time to expose S&P for the frauds they are.
07:05 AM on 08/09/2011
Your suggestions would've carried much more weight had they come PRIOR to the downgrade, for instance early last week or the week before when every democrat I can think of was harping on how we had to do something immediately or risk the negative ratings of S&P. It was very important, at least at that point. What happened, did something change?

So let me get this straight, if S&P would have left our credit rating alone you would be singing their praises. But since they downgraded our nation (couldn't have anything to do with borrowing 4 billion every day could it?) now S&P is evil, bad, wrong, can't do math.....right? Go from "hurry up!" to "that old agency doesn't matter anyway".

I'm sorry, that's not the way it works. We were downgraded under this flawed federal regime of empty heads and might never get that rating back. It's a government caused (un) natural emergency and the pressure should be on right now today to reign in spending or risk further erosion of our credit, i.e. getting rid of S&P might benefit Obama but it does not solve our problems.
07:34 AM on 08/09/2011
Read up on S&P... they've had an agenda for quite some time now.
11:23 AM on 08/09/2011
But again that didn't matter before Obama was downgraded correct? I didn't hear any dems speaking negatively about S&P last week, did you?
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Romeover
Civilization is for weaklings.
08:15 AM on 08/09/2011
You are apparently completely unfamiliar with Mr. Eskow and his writings.
11:27 AM on 08/09/2011
I'm familiar with the hypocrisy of democrats that waited until AFTER obama's downgrade before demonizing S&P. Are you in a little denial this morning?
12:12 PM on 08/09/2011
I'm familiar with this nations financial picture being downgraded on Obama's watch. At the moment I really don't care very much about S&P's involvement with the housing crisis we've been dealing with for years. Save that demonization and investigation for a rainy day when dems need a new enemy to focus on.

Our prez sold us down the river. S&P does not just call you up one morning and say "oh by the way, we downgraded your country today". There's a little more to it, and notice was given to our smarmy politicians before the big announcement on Friday, of that you can be certain. Who knew what and when remains to be seen. But a president and a dem controlled senate that refused to let cut cap and balance bill advance have full responsibility for the mess. Normal, honest Americans do not laugh and pick on a bill that requires our government balance the books and cap what they spend, so if you are convinced that is good policy might want to take a good hard look.