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Ted Kaufman

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Dodd-Frank's First Birthday: One Year Under Constant Assault

Posted: 07/21/11 09:58 AM ET

To say that the year-old Dodd-Frank Wall Street Reform and Consumer Protection Act is under attack in Washington is like describing Little Big Horn as an engagement between the cavalry and the Indians. What we are watching looks more and more like a one-sided massacre, and the hordes of financial industry lobbyists and their Republican enablers are taking all the scalps.

I take no pleasure in saying I told you so. But what many of us saw as the fatal flaws in Dodd-Frank are now fully exposed. I repeatedly said in the Senate debates last year that the bill did not include the kind of tough laws that were passed in the 1930s by the last Congress that had to deal with a catastrophic financial meltdown. It was painfully obvious to me and many others that banks that are "too big to fail" are exactly that -- too big. But there was nothing in Dodd-Frank that faced this reality, nothing that put hard statutory limits on the size and complexity of our megabanks. Instead, the bill passed the buck to future regulators.

We are now witnessing the consequences of that decision.

Efforts by U.S. regulators to require megabanks to maintain more capital have been pitifully weak. Internationally, the Basel Committee on Banking Supervision has proposed (Basel III) that banks hold 7% of common capital as a percentage of their risk-weighted assets, with a possible 2-3% surcharge for the megabanks. But Basel III is not binding on individual nations and in any case its new capital requirements would not go fully into effect until 2019.

The banks that were deemed too big to fail in 2008 and had to be saved by the massive Troubled Asset Relief Program and unprecedented help from the Federal Reserve have never been forced to slim down. The blind hand of the market charges the big six banks lower interest rates than smaller banks. The message of the market is clear: the government is still on the hook and cannot allow these banks to fail.

The central solution proposed in Dodd-Frank to avoid future bailouts is resolution authority. But no one has yet come up with a workable resolution plan for massive financial institutions with outlets everywhere. Different countries are promulgating different resolution rules -- the U.S. with a "living will" for the banks and other countries with proposals for special bonds or contingent capital. Three years after it went down, Lehman Brothers is still in bankruptcy, primarily because of creditors in the U. K. and around the world. How long would it take, and what would be the effect on the markets, if an institution the size of $1.8 trillion Citibank (according to National Journal "in 171 countries, with 550 clearance and settlement systems") were to fail? This month, Standard and Poor's said they believe that "systemically important financial institutions" could still receive government support.

The best way to curb the risky activities of megabanks would have been to reinstate a new version of the Glass-Steagall Act. From its enactment in 1933 until it was repealed in 1999, Glass-Steagall required that commercial banks, insured by the FDIC, be separate from investment banks and the risky investments those banks make. Instead, Dodd-Frank includes a much weakened version of a proposal by former Federal Reserve Chairman Paul Volcker requiring banks to separate proprietary trading from commercial activities. Many of us thought at the time that it would be impossible to create a proprietary trading definition that does not allow creative Wall Streeters to proceed with business as usual. Sadly, it looks like we were right.

No one questions the major role derivatives played in the financial meltdown. The Commodity Futures Trading Commission was supposed to come up with regulations on derivatives by July 16. The Commission recently announced that there would be a delay of six months or so. Why? Certainly because the task is complicated, but also because the Commission is dealing with a new Republican House of Representatives that seems dead-set against any kind of regulation at all.

One of the most promising parts of Dodd-Frank was the Consumer Finance Protection Board. Led by Interim Director Elizabeth Warren, the CFPB has been successfully staffed and organized. Now President Obama has nominated Richard Cordray to be its first Director. Unfortunately, Senate Republicans say they will confirm no one until there are "major structural changes" (i.e. severe limits to its ability to protect consumers) in the agency. The CFPB can make no rules without a confirmed Director.

Wall Street is winning the public relations and lobbying fight, but markets are for real. When they fall like they did in 2008, they send an unmistakable message. No amount of Wall Street lobbying money can change that. If we do not heed that message and institute real change, the next meltdown will be even worse.

 
 
 
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06:33 AM on 07/24/2011
Free enterprise is operating in a market governed by customer choice. It does not mean that the structure is unregulated. Imagine if all of the vegetables were just piled in a heap for selection and purchase by blind customers? We need regulation to facilitate the financial market, not to handicap the customer further.
We have seen the end result of unregulated free enterprise at the News of the World, our banks cannot be next.
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429freckles
Ex Republican Now Devoted Democrat
12:36 AM on 07/23/2011
We are doomed to be a 3rd world country. Time to give socialism a try. Go Bernie Sanders. I'm with ya.
02:14 PM on 07/22/2011
If not Dodd-Frank, then any other similar plan would be under attack by the fat cats. I do not see how Wall Street could be winning any sort of "public relations" fight. Do you refer to the public who comprise the population of our country? Or do you implicitly endorse the powerful few who were elected to represent us in Washington but are failing to work for our best interests? Apparently what is needed is not necessarily stronger regulation but a way to influence or defeat those INDIVIDUALS who are apparently "bought and paid for" from the minute they take office.
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Julie Dahlman
Now a self employed, under
10:31 AM on 07/22/2011
You know these are Washington politicians and just maybe they are playing this out to extract more money from the lobbyists of Wall Street and Corporate Mafia. The more they put on this theatrical play the more money they can line their pockets with. They know how the money flows and where the money is. Just like our elections are now a 2 year process and the money flows into nbc, abc, cbs, cspan, cnn, msnbc for a longer period of time and it is billions. Why would corporate media want to change that? The money flows but not for the worker or ordinary Americans. Either get over it/adjust your living standards or stand up and fight back.
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10:29 AM on 07/22/2011
Resurrection of Glass-Steagall would draw a WTO complaint, which would be resolved by a WTO tribunal.

http://www.citizen.org/documents/FinanceReregulationFactSheetFINAL.pdf
To Rescue Main Street, We Need to Curb the WTO

"...Starti­ng in the late 1970s, the U.S. government and corporatio­ns pushed to redefine “finance” from a service that supports the real economy to a tradable commodity whose flow across borders should be uninhibite­d. Starting in the late 1980s, they successful­ly pushed for financial services to be included in “trade” negotiatio­ns, including those establishi­ng the World Trade Organizati­on (WTO). “The sector was truly unique in that respect, and there is little doubt within the trade policy community that financial sector support in the European Union and the United States was a determinin­g force in concluding the FSA [WTO Financial Services Agreement]­” notes a study posted on the WTO’s own website “Financial Services and the WTO: What Next?”

The WTO rules require deregulati­­on – and lock-in – of financial services that countries “liberaliz­­e” under these terms.

[snip]

For instance, the Glass-Stea­­gall Act created a firewall between commercial and investment banks to prevent the former from speculatin­­g with consumers’ savings. But the U.S.’ 1997 FSA commitment­­s noted an intent to change Glass-Stea­­gall to conform with WTO rules. The Gramm-Leac­­h-Bliley Act, which did so, passed in 1999 – the year the FSA went into effect....­­"
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04:08 PM on 07/22/2011
The WTO is the world government many felt the UN would become.

http://www.globalexchange.org/campaigns/wto/OpposeWTO.html
Top Reasons to Oppose the WTO

"1. The WTO Is Fundamenta­lly Undemocrat­ic
2. The WTO Will Not Make Us Safer
3. The WTO Tramples Labor and Human Rights
4. The WTO Would Privatize Essential Services
5. The WTO Is Destroying the Environmen­t
6. The WTO is Killing People
7. The WTO is Increasing Inequality
8. The WTO is Increasing Hunger
9. The WTO Hurts Poor, Small Countries in Favor of Rich Powerful Nations
10. The WTO Undermines Local Level Decision-M­aking and National Sovereignt­y..."

(the text of each point has been omitted)
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DrJykell
Truth hunter
09:22 AM on 07/22/2011
Wall st is laughing at you ppl--bail outs that they turned into the largest personal bonuses in company history--and then this Didd diversion that don't even go after the derivatives that caused the problem..
Who are the ppl dealing in the derivative market that the people shouldn't know about??
What kind of deals are they about? Money laundering? Why so secret?

What about this Fed situation that is dumping money into the central banks to collect dust?
Why does the Dodd diversion hurt the small local banks? It's all pointing to a purposeful money squeeze that's doing just the opposite of what it's talking pts say its going to do..

Small banks service the economy with loans to small business--get them the money---because small business is being forced to use 17% credit cards for everyday expenses--Is that being done on purpose? Profits for the credit issuer--but slowing job creation.. It looks like its being done on purpose.
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dgoshilla
09:13 AM on 07/22/2011
Rent and start a small business. Get off the bank grid.
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hmagbie
06:40 AM on 07/22/2011
The only way that we're going to get true financial reform is to start with campaign finance reform. One has to ask the question Sen. Kaufman, is how much money did your campaign collect from banking and corporate interest? If you received that money isn't there some obligation to deliver? Our government is corrupt. Until we clean this up we'll continue to loose jobs, have salaries in decline and pay more for everything.Why don't we start with repealing the Commodity Futures Modernization Act of 2000 and The Financial Services Modernization Act of 1999 and get speculators out of the commodities market!
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10:35 AM on 07/22/2011
How can a corrupt system be peacefully reformed by following its rules ?
MarkJudiGoet
Diogenes was an optimist
01:42 AM on 07/22/2011
Capitolism will fail for the same reason Marxism failed, they are both based on the misguided belief that people will put the common good of all, above self-interest. Some will call it cynical but the fact is, if people think they'll get away with breaking the law, they will break it, especially if they can enlist the help of the very people who write the laws, which is the situation in our country at present.
"History repeats itself, that's the worst damn thing there is about history", I don't know who said that but it's true, and without rigid controls and oversight we will be doomed to repeat the past because, let's face it, people, by and large, cannot be trusted. They will buy a way around any attempt at slowing their greed, and, at present, they have their pick of people who, for a price, will help them.
As I said, Capitolism will fail,and with it our country, because the very people who are tasked with it's protection, are the ones who, through averice and short sighted self-interest, are insuring its destruction.
09:17 AM on 07/22/2011
Your comment is right on Mark. What is ironic is that you can rile the Country up in a second about "weapons of mass destruction" in the hands of "foreigners" out there. But few get excited about the domestic wielders of "Weapons of Mass Exploitation" (To use a phase from Ravi Batra), that are just as deadly to our Country. Until we separate the utilitarian (public interest) aspect of banking from the inevitable, speculative activities of the finanicial behemouths, we are doomed.
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DrJykell
Truth hunter
09:46 AM on 07/22/2011
What about this foriegn policy of supporting dictatorships to give American corporations access to world oppression---

why is America fighting minimum wage laws in these countries and nothing is ever said about it?

i'll never look at coke--chiquita--or fruit of the loom the same way ever again..
Outsoucing is promoted to these oppressed areas thru free trade agreements which is just as much a war against the american middle class as it is the poor ppl of those being oppressed.
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10:57 AM on 07/22/2011
From 1999...

http://www.globalexchange.org/campaigns/econ101/survey.html
Globalization Survey Reveals U.S. Corporations Prefer Dictatorships

"Democratic countries in the developing sector, such as Poland and South Africa, are losing out in the race for American export markets and American foreign investment. Dictatorships such as China or semidictatorships such as Indonesia are winning.

And the trend is growing. As more of the world's countries adopt democracy, more American businesses appear to prefer dictatorships.

If trade and investment strengthen developing countries, then U.S. businesses may be weakening the very countries they say they most want to help.

These are the conclusions of a report recently released by the New Economy Information Service (NEIS), a think tank set up to gauge the effects of globalization.

"The democratic countries in the developing world are losing ground to more authoritarian countries when it comes to competing for U.S. trade and investment dollars," NEIS said.

"This finding," it said, "raises the question of whether foreign purchasing and investment decisions by U.S. corporations may be inadvertently undermining the chances for survival of fragile democracies."

NEIS compiled the report using U.S. government and World Bank figures on trade and investment. It borrowed political ratings compiled by Freedom House, a human rights organization that ranks countries as "free," "partly free" or "not free" based on the level of their political rights and civil liberties..."
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captaincrawley
If Canada is socialist, then so am I.
12:42 AM on 07/22/2011
Here's how you do it in the U.S. congress when the corruption becomes so obvious and egregious that the people demand you do SOMETHING: Pass a "reform" bill, after taking advice from lobbyists about how to water it down. Call it a "compromise." Put in loopholes large enough to drive an 18-wheeler through. Tell the public you have now "done something." Continue taking bribes from lobbyists as usual. Reform effort fails, of course. Now it is time to announce that the reforms have failed because any effort at reform is "unrealistic" and "detrimental to the economy". Repeal the reform. The cycle now begins anew.
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bthechangeyouseek
09:16 AM on 07/22/2011
Correct, but how to fix it. The best person in office gets sucked into the system. "How to Tame Your Dragon" has symbolic meaning.
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bthechangeyouseek
09:16 AM on 07/22/2011
"How to Train Your Dragon."
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DrJykell
Truth hunter
12:19 AM on 07/22/2011
I guess ppl may believe something got fixed--but I'm telling you people--the only thing that's being created with this bill---is the ability for the small local banks to service the economy..

The big banks need fixed--the small banks did nothing wrong---the derivative casino market wasn't touched--and that's because that's where all the black dark shadow banks live---they're laughing at the people who don't understand why the recession isn't over---the demand small banks provide are being shut out to hold up the economy--they'd be better off adding 50 grand to every banking account so the ppl will go out spend the money which now just sitting in central banks collecting dust.. WHY?

the economy is being deprived of demand---which is half of what's needed in every economy..
Society needs to ask the banks why the money isn't being sent to local bamks instead of to the criminals who created the mess in the first place..
http://www.globalresearch.ca/index.php?context=va&aid=25586
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Duane7
I'm left of Karl... Marx not Rove.
11:37 PM on 07/21/2011
Remember the Sarbannes Oxley Act? It too was watered down and ignored to death. We still have fraud rampant in the market and the SEC still does nothing. Until we get a replacement Supreme court that will enforce the laws and make the corporate overlords follow our laws we will be their slaves. The Oligarchy lives.
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bthechangeyouseek
09:21 AM on 07/22/2011
The SEC is under staffed by purpose. SCOTUS does not enforce laws, they interpret, but I agree we need nonpartisan SCOTUS judges. They have been doing quite a bit of partisan interpretation.
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DrJykell
Truth hunter
09:27 AM on 07/22/2011
It's worse than anyone thinks--trans-national corporations have made so much money they're lending back to the govt--we the ppl---instead of raises in personal income in America--they've decided to give us all loans thru govt--to be paid back with interest.. UNFAIR!
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MauricioC
beware of half truths...you may get the wrong half
10:22 PM on 07/21/2011
Banks are crumbling from within. What happened at News Corp happens at the mega banks on a daily basis. Executives that employ minions to carry out their messages of sheer intimidation. Business development personnel are given unachievable goals that completely disregard the market realities. Their incentive plans are created to make them push complex products with lots of hidden print. But at the end of the day bank management is cutting their own throats. Unhappy employees are creating unhappy customers. Right now the cheap money from the Fed is hiding the issues, lack of trust is resulting in heavy regulations which are extremely costly and disruptive to implement. The industry is a complete mess and has totally lost it's way due to a complete lack of true and honest leadership. The next wave of innovation is already starting to chip away at the most lucrative parts of banking while the egomaniacs are snoozing.