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The Capital Structure of a Regulated Firm

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Author Info
Yossef Spiegel
Daniel F. Spulber

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Abstract

We examine the equilibrium price, investment, and capital structure of a regulated firm using a sequential model of regulation. We show that the firm's capital structure has a significant effect on the regulated price. Consequently, the firm chooses its equity and debt strategically to affect the outcome of the regulatory process. In equilibrium, the firm issues a positive amount of debt and the likelihood of bankruptcy is positive. Debt raises the regulated price, thus mitigating regulatory opportunism. However, underinvestment due to lack of regulatory commitment to prices persists in equilibrium.

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File URL: http://links.jstor.org/sici?sici=0741-6261%28199423%2925%3A3%3C424%3ATCSOAR%3E2.0.CO%3B2-P&origin=repec
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Publisher Info
Article provided by The RAND Corporation in its journal RAND Journal of Economics.

Volume (Year): 25 (1994)
Issue (Month): 3 (Autumn)
Pages: 424-440
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Handle: RePEc:rje:randje:v:25:y:1994:i:autumn:p:424-440

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  1. Clive Stones, 2007. "Risk Sharing, the Cost of Equity and the Optimal Capital Structure of the Regulated Firm," Review of Industrial Organization, Springer, vol. 30(2), pages 139-159, March. [Downloadable!] (restricted)
  2. Strauss, Jason, 2007. "Price Regulation, Market Exit, and Financial Leverage of Canadian Property-Liability Insurers," MPRA Paper 11212, University Library of Munich, Germany, revised 28 Oct 2008. [Downloadable!]
  3. John K. Stranlund & Wei Zhang, 2008. "Bankruptcy Risk and Imperfectly Enforced Emissions Taxes," Working Papers 2008-3, University of Massachusetts Amherst, Department of Resource Economics. [Downloadable!]
  4. Francesc Trillas, 2004. "The structure of corporate ownership in privatized utilities," Investigaciones Economicas, Fundación SEPI, vol. 28(2), pages 257-284, May. [Downloadable!]
  5. Robert Klein & Richard Phillips & Wenyan Shiu, 2002. "The Capital Structure of Firms Subject to Price Regulation: Evidence from the Insurance Industry," Journal of Financial Services Research, Springer, vol. 21(1), pages 79-100, February. [Downloadable!] (restricted)
  6. Bortolotti, Bernardo & Cambini, Carlo & Rondi, Laura & Spiegel, Yossi, 2008. "Capital Structure and Regulation: Do Ownership and Regulatory Independence Matter?," CEPR Discussion Papers 7100, C.E.P.R. Discussion Papers. [Downloadable!] (restricted)
  7. Strauss, Jason David, 2008. "The financial leverage of Insurers subject to price regulation: evidence from Canada," MPRA Paper 10845, University Library of Munich, Germany. [Downloadable!]
  8. Clive J Stones, . "Risk Sharing, the Cost of Equity and the Optimal Capital Structure of the Regulated Firm," Discussion Papers 05/31, Department of Economics, University of York. [Downloadable!]
  9. John Stranlund & Wei Zhang, 2008. "Bankruptcy risk and the performance of tradable permit markets," Economics Bulletin, Economics Bulletin, vol. 17(9), pages 1-9. [Downloadable!]
    Other versions:
  10. Deergha Raj Adhikari, 2004. "Measuring market power of the US cigarette industry," Applied Economics Letters, Taylor and Francis Journals, vol. 11(15), pages 957-959, December. [Downloadable!] (restricted)
  11. Ehrhardt, David & Irwin Timothy, 2004. "Avoiding customer and taxpayer bailouts in private infrastructure projects : Policy toward leverage, risk allocation, and bankruptcy," Policy Research Working Paper Series 3274, The World Bank. [Downloadable!]
  12. Helder Valente, 2003. "Financial Strategies in Mergers and Acquisitions (M&A): The Case of Regulated Firms," CETE Discussion Papers 0307, Universidade do Porto, Faculdade de Economia do Porto. [Downloadable!]
  13. J. Cummins & Neil Doherty, 2002. "Capitalization of the Property-Liability Insurance Industry: Overview," Journal of Financial Services Research, Springer, vol. 21(1), pages 5-14, February. [Downloadable!] (restricted)
  14. Balazs Egert, 2009. "Infrastructure Investment in Network Industries: The Role of Incentive Regulation and Regulatory Independence," CESifo Working Paper Series CESifo Working Paper No. , CESifo Group Munich. [Downloadable!]
    Other versions:
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